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WORK BASED LEARNING PROGRAMME SPECIFICATION and GUIDANCE
FOR APPRENTICESHIPS, TRAINEESHIPS and JOBS GROWTH WALES PROGRAMMES
April 2015 – March 2019
Version 3.5
Last update: August 2018
© Crown copyright
Published November 2017
You may re-use this document/publication free of charge in any format or medium, under
the terms of the Open Government Licence v3.0. To view this licence visit
http://www.nationalarchives.gov.uk/doc/open-government-licence or write to the
Information Policy Team, The National Archives, Kew, Richmond, Surrey, TW9 4DU; or
email: [email protected].
This document/publication is available on our website at www.gov.wales/wbl
Any enquiries regarding this document/publication should be sent to us at
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1. Contents
1. PROGRAMME SPECIFICATION AND GUIDANCE ................................................. 8
INTRODUCTION ................................................................................................... 8
APPRENTICESHIP PROGRAMMES................................................................... 10
Section A: General Information ........................................................................ 10
Section B: Eligibility for Apprenticeships Programmes...................................... 12
Section C: Learner Terms and Conditions ........................................................ 18
Section D: The Learning Process ..................................................................... 20
Section E: Learning Support............................................................................. 25
Section F: Requirements when Completing/Leaving the Programme ............... 27
Section G: Progress for Success (PfS) ............................................................. 31
Section H: Shared Apprenticeship Delivery ...................................................... 34
Section I: Support for Young Apprentices and the Apprenticeship Employer Incentive........................................................................................................... 37
TRAINEESHIPS PROGRAMME .......................................................................... 45
Section J: Programme Information and Eligibility.............................................. 45
Section K: Additional Programme Requirements (Traineeships) ...................... 53
Section L: Learner Terms and Conditions (Traineeships) ................................. 57
EMPLOYABILITY SKILLS PROGRAMME ........................................................... 64
Section M: Programme Information and Eligibility ............................................ 64
JOBS GROWTH WALES (JGW) ......................................................................... 74
Section N: Programme Information and Eligibility ............................................. 74
Section O: JGW Participant Terms and Conditions .......................................... 83
Section P: The JGW Programme and related requirements ............................. 87
GENERIC SECTION ......................................................................................... 100
Section Q: Health and Safety ......................................................................... 100
Section R: Data and Payment Conditions....................................................... 101
Section S: Audit.............................................................................................. 105
Section T: Education for Sustainable Development and Global Citizenship .... 107
Section U: Quality Assurance and Continuous Improvement.......................... 108
Section V: Welsh Language Policy ................................................................. 111
Section W: Equality and Diversity ................................................................... 114
Section X: Marketing and Communications ............................................... 116
Section Y: Leading a Consortium ................................................................... 121
Section Z: Sub-Contracting ............................................................................ 123
Section AA: Eligibility for Welsh Government Funding and ESF Support........ 125
2. PROVIDER ASSURANCE AND GOVERNANCE SERVICE GUIDANCE ............. 131
A. Introduction ............................................................................................. 131
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B. Apprenticeship Programmes including Apprenticeship Employer Incentive Scheme and Shared Apprenticeship Delivery ................................................ 132
C. Traineeships (Engagement, Level 1 and Bridge-2-Employment) ........ 139
D. Other WBL Support Funding ................................................................ 147
E. Jobs Growth Wales (Private Sector only) ................................................ 150
F. Employability Skills Programme (ESP) for unemployed adults and offenders in the community from 12th September 2016. ................................................ 159
G. Apprenticeship Employer Incentive Scheme (commencing 1st August 2017) 166
Annex A: Guide for Confirmation of Learner Eligibility – Apprenticeships ........... 168
Annex B: Guide for Confirmation of Learner Eligibility – Traineeships ................ 169
Annex C: Guided Contact Hours – Further information & evidence .................... 170
Annex D: Learner Reviews ................................................................................ 173
Annex E: Traineeship Destinations .................................................................... 175
3. EUROPEAN FUNDING COMPLIANCE GUIDANCE ............................................ 178
A. Introduction ............................................................................................. 178
B. European Social Fund Publicity Requirements ........................................ 178
C. Avoiding Double Funding ..................................................................... 181
D. Information Assurance ......................................................................... 182
E. Provider Responsibilities and the Management of sub-contracting risks.. 195
F. Confirmation of an Employer’s SME / Large firm and public or private sector status ............................................................................................................. 195
G. Cross Cutting Themes requirements ................................................... 196
H. Eco-Code guidance ............................................................................. 198
4. DATA SUBMISSION GUIDANCE ......................................................................... 200
5. DESTINATION GUIDANCE (Traineeships) ......................................................... 201
Introduction .................................................................................................... 201
Leavers from 1st January 2015 ....................................................................... 201
Leavers before 1st January 2015 .................................................................... 201
Audit of positive measurable progressions ..................................................... 201
Traineeships Learner Destination Form ......................................................... 206
Frequently Asked Questions Traineeship Programmes Destinations ............. 208
6. SUPPORT COSTS GUIDANCE ............................................................................ 213
A. Summary................................................................................................. 213
B. Introduction ............................................................................................. 214
C. Background ......................................................................................... 214
D. Training Allowances............................................................................. 214
E. Travel and Accommodation Funding ....................................................... 216
F. Childcare Funding ................................................................................... 217
G. Additional Learning Support (ALS) ....................................................... 219
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H. Evidence Requirements ....................................................................... 222
I. Allocation of Funding ............................................................................... 224
J. Audit Arrangements ................................................................................ 224
Appendix 1a & 1b - Provider declaration for in-year activity support costs ...... 225
Appendix 2 - Provider application for an Exceptional Training Allowance (Apprentices only) .......................................................................................... 226
Appendix 3 - Exceptional Training Allowance Funding ................................... 227
Appendix 4 - Application for Help with Childcare Costs .................................. 228
7. PROVIDER PERFORMANCE MANAGEMENT - A PROGRAMME FOR JOINT WORKING ................................................................................................................... 229
A. Purpose .................................................................................................. 229
B. Background ............................................................................................. 229
C. Provider Performance Managers ......................................................... 229
D. Key Elements ...................................................................................... 229
E. Self Assessment ..................................................................................... 233
Annex A: Assessing risk ................................................................................. 234
8. WORK-BASED LEARNING OUTCOMES – PERFORMANCE THRESHOLDS ... 235
A. Background ............................................................................................. 235
B. Performance year .................................................................................... 235
C. General notes ...................................................................................... 235
D. Apprenticeship framework success ...................................................... 236
E. Traineeships ........................................................................................... 237
F. Work Ready ............................................................................................ 237
9. GLOSSARY OF TERMS ....................................................................................... 238
A. Words and Expressions relating to WBL ................................................. 238
B. Frequently used Acronyms ...................................................................... 255
C. Overseas Nationals ............................................................................. 256
Index ........................................................................................................................... 257
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AMENDMENTS
Version
and Date Amendment Summary of Amendment Relevant sections
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1. Degree Apprenticeships are excluded from the requirements within this Programme Specification.
1. Programme Specification and
Guidance – Section A.
2. Amendment to eligibility for self-employed construction apprentices (applicable from 6th November). (PAGS guidance to follow).
1. Programme Specification and
Guidance – Section B.
3. Amendment to allow reviews to be carried out virtually.
1. Programme Specification and
Guidance – Sections D, K and M.
2. PAGS Guidance.
4. Amendment to Employability and Skills Programme to bring in line with requirements for authenticated documents.
1. Programme Specification and
Guidance – Section M.
2. PAGS Guidance.
5. Amended Welsh Language Guidance to include Communications and Marketing requirements.
1. Programme Specification and
Guidance – Section V.
6. Equality and Diversity amendment - . Where a learner is undertaking an apprenticeship in a gender a-typical sector/occupation (e.g. a female undertaking a construction apprenticeship) providers should provide extra support/mentoring where necessary.
1. Programme Specification and
Guidance – Section W.
7. Revised Marketing Guidance. 1. Programme Specification and
Guidance – Section X.
8. Updated Data Submission Guidance. 4. Data Submission Guidance.
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1. Clarification in relation to the Apprenticeship Support Offer - The Employer Incentive Programme.
1. Programme Specification and
Guidance – Section I – Employer
Incentive Programme – PG 37;
Limited Companies – PG 38
2. Changes to the Attendance Limit for the Traineeship Engagement programme and its impact on TAs
1. Programme Specification and
Guidance - Section L: Learner
Terms and Conditions
(Traineeships) – Attendance PG
56
3. Changes to the learner’s eligibility for Traineeships Level 1
1. Programme Specification and
Guidance – Traineeships
Programme - Section J:
Programme Information and
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Eligibility – Ineligibility for
Traineeships PG 49
Version
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018 1. Revised requirements in relation to
GDPR, effective from 25 May 2018 Section 3 European funding D
Information Assurance
2. Correction of an error in age group for Traineeships 16-18
PG 42 – 1. Programme
Specification and Guidance –
Traineeships
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1. Revised Shared Apprenticeships Delivery. Shared Apprenticeships protocol included. Web links amended to link to new WG beta site
Part 1 Programme Specification
Section H Shared
Apprenticeships (PG 35-36)
2. Revised Support Cost Guidance and the forms for the contract year 2018/19. Web links amended to link to new WG beta site.
Part 6. Support Cost Guidance
including appendices 1-4
3. Revised PAGS guidance reflecting changes in Support Cost Guidance
Part 2. Provider Assurance and
Governance Service Guidance –
Section Other WBL Support
Funding (Evidence for public
transport PG 147)
4. Revised end dates of the WBL 4 programmes.
Part 3. European Funding
Compliance Guidance – Section
D. Information assurance (D41)
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1. PROGRAMME SPECIFICATION AND GUIDANCE
INTRODUCTION
[PAGS] denotes a link to the PAGS guidance associated to the requirement.
This Programme Specification forms part of the Agreement between the Contractor and the Welsh Ministers for the delivery and funding of Apprenticeships, Traineeships and Jobs Growth Wales programmes collectively Work Based Learning (WBL), and sets out certain requirements that must be adhered to by the Contractor in the delivery of these programmes.
1. Further requirements and guidance to support this Programme Specification is available online at:
https://beta.gov.wales/work-based-learning-wbl-programme-specification-and-guidance
2. References to qualifications refer to both National Qualification Framework (NQF) and Qualification Credit Framework (QCF) registered qualifications that have been approved for public funding. The Database of Approved Qualifications for Wales (DAQW) remains the single point of reference for all approved qualifications and any one of these approved qualifications can be included in a relevant programme.
3. Through the delivery of the Apprenticeship and Traineeship programmes the Contractor must provide integrated programmes of learning, leading to qualifications approved for the purpose of and in accordance with Sections 96 and 99 of the Learning and Skills Act 2000 (as amended) or other qualifications approved by the Welsh Government from time to time.
4. The Contractor must comply with the Learning and Skills Act 2000 (as amended) so far as applicable, the Apprenticeship, Skills, Children and Learning Act 2009 (ASCL Act 2009) and all other relevant statutory obligations, including, but not limited to, those relating to health and safety; equal opportunities and protected characteristics; the national minimum wage; disability discrimination; the Welsh language; data protection; and the protection of children and vulnerable adults.
5. In addition the Contractor must
Take effective measures to ensure the retention and attainment of Learners;
Promote learning to employers to maximise employer participation and financial contributions to learning;
Develop and maintain close working relationships, as appropriate, with 14-19 Networks, Career Choices Dewis Gyrfa, Jobcentre Plus and other guidance services to ensure that Learners and employers are able to make well informed choices in line with specific labour market needs;
Promote the use of e-portfolios and the Skills Health Check process as applicable to each individual Learner;
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Promote community benefits (see 10: Provider Performance Management section D);
Work with the relevant Awarding Organisations and Sector Skills Councils/Bodies as necessary; and
Be able to demonstrate to the Welsh Government’s satisfaction that they have made best efforts to work with other learning organisations to support the delivery of a broad range of learning opportunities, aligned to Welsh Government strategic priorities.
Ensure that all staff are aware of the requirement for all Work Based Learning practitioners including trainers, assessors, learning coaches and mentors to register with the Education Workforce Council, as from April 2017. For more information please see https://www.ewc.wales/site/index.php/en/registration/applying-for-registration.html
Contractor wishing to Terminate its Agreement/Contractor at Risk of Failure
6. Where a Contractor wishes to terminate its Agreement it should write notifying the Learner Provision Team.
7. When an Agreement has been, or is to be, terminated, the Learner Provision Team will write to the Contractor informing it of the following:
confirmation of the termination date;
the fields within the Lifelong Learning Wales Record that require completion for each individual Learner and timescales for completion of these fields
8. If a Contractor considers it is at risk of ceasing to trade, it should inform the Welsh Government of this risk. It should also supply the following information through [email protected]:
contact details for correspondence;
liquidator details / contact details (if applicable);
details of where its Learner records are stored and clear referencing method used;
any further information required to enable access to Learner records
9. If the Contractor ceases to trade, the Contractor must inform the Welsh Government of the name and contact details of its liquidator so that the Welsh Government can liaise with the liquidator in order to have access to the Contractor records.
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APPRENTICESHIP PROGRAMMES
The purpose of the Apprenticeship Programme is to provide employers with the relevant skilled people to meet the current and future needs of their businesses and the Welsh economy.
Section A: General Information
A1. Apprenticeship Programme is a term that incorporates Foundation Apprenticeships, Apprenticeships and Higher Apprenticeships. Degree Apprenticeships are excluded from this Programme Specification.
A2. Foundation Apprenticeships and Apprenticeships are employment based learning programmes for Employed Learners, at QCF levels 2 and 3 who follow a framework led programme developed by the relevant industry Sector Skills Council. Higher Apprenticeships are an employment based learning programme for Employed Learners, at QCF levels 4 and above, who follow a framework led programme developed by the relevant Sector Skills Council. Employed Learners can enter the Apprenticeship programme and undertake (en route and in addition to a level 3 vocational qualification) the level 2 components of the appropriate Foundation Apprenticeship framework.
A3. Each framework specifies the learning activities, including, qualifications covering occupational competencies, the relevant technical knowledge, Essential Skills Wales and Employment Rights and Responsibilities (ERR).
A4. Aspects of the Apprenticeship Programmes are underpinned by statute contained in sections of the Apprenticeship, Skills, Children and Learning Act 2009.
Priorities
A5. The Welsh Government is committed to ‘support the economy and business’ and a key action is to ‘Increase apprenticeship opportunities for young people’. In addition, the Welsh Government has a commitment to 16-19 year olds as part of the 14-19 Learning Pathways policy. Young people within this group are usually entitled to an offer of an appropriate post 16 learning place. Contractors must work with 14-19 Networks, Career Choices Dewis Gyrfa (or other designated body) and the Welsh Government to secure Apprenticeships for 16-19 year olds.
A6. Providers are required to prioritise recruitment onto the apprenticeship programme in line with requirements detailed within their annual contract offer letter.
A7. The Welsh Government reserves the right to target its priorities as it deems appropriate throughout the life of the Agreement. These could include by:
age
qualification level
sector
company size
A8. The Welsh Government reserves the right to vary the funding rate for Apprenticeships on the basis of these or other variables as part of the targeting of priorities as it deems appropriate throughout the life of the Agreement.
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Additional Guidance
Changes will be notified to Contractors in writing not less than 60 days before the start of the Programme Commission.
Frameworks
A9. The Contractor must ensure that the development and delivery of Foundation Apprenticeships, Apprenticeships and Higher Apprenticeships conform to frameworks for Wales published on Apprenticeships Frameworks Online (AFO) defined (or deemed) by the Specification of Apprenticeship Standards for Wales.
Additional Guidance
A recognised Welsh apprenticeship framework sets out the minimum content and qualifications that an apprentice can expect to receive in an occupational area. Apprentices who started against a ‘blueprint’ framework, whilst they were still available, may still claim apprenticeship certification on completion of the framework. All starts on apprenticeship programmes must now follow a recognised Specification of Apprenticeship Standards for Wales (SASW) framework that has been published on the Apprenticeships Frameworks On-line system (AFO) at the time of start.
Performance Targets
A10. Contractors delivering Foundation Apprenticeship, Apprenticeship and Higher Apprenticeship programmes must achieve a minimum framework success rate of 75 per cent. The Welsh Government reserves the right to adjust the percentage over the lifespan of the Agreement. Further information on performance targets for framework success can be found in section 11 - Work-based Learning Outcomes Performance Thresholds.
Specific Initiatives
A11. The Welsh Government will deliver from time to time specific initiatives under the apprenticeship programme, for example, initiatives aimed at supporting particular sectors and/or learner groups. Current examples of these initiatives include Progress for Success, the Young Recruits Programme and Shared Apprenticeships.
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Section B: Eligibility for Apprenticeships Programmes
B1. Individuals who have legally left school and where an individual’s emp loyment or main work placement is located in Wales are eligible for entry to the Foundation Apprenticeship, Apprenticeship, or Higher Apprenticeship programmes funded by the Welsh Government.
Cross border funding responsibilities are shown in the table below:
Participant’s residence
Employer base
Main country where participant works
Time spent working at main country
Funding
Wales or England
Wales Wales 51% or more Welsh Government Funding and priorities.
Wales or England
England Wales 51% or more Welsh Government Funding and priorities.
Wales or England
England England At least 50% Voucher arrangements and priorities of the UK Government.
Wales or England
Wales England At least 50% Voucher arrangements and priorities of the UK Government.
Please note that the key determiner is the country where the participant works. The determining factor for those employers situated close to / on the border between England and Wales is the location of the office where their Business Rates are paid.
The Contractor must ensure that it complies with the suitability and eligibility evidence requirements stipulated in Section AA: Eligibility for Welsh Government Funding and ESF Support. [PAGS]
Additional Guidance
For the avoidance of doubt, where a Learner progresses from any activity undertaken in respect of the WBL programme commission without a break in learning of more than eight calendar weeks, the original eligibility status remains extant.
B2. Eligible graduates would be expected to enter into either an Apprenticeship or Higher Apprenticeship programme. [PAGS]
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Additional Guidance
The Apprenticeship or Higher Apprenticeship would not normally be in the same occupational route as the Higher Educational achievement unless the content of the Higher Education achievement is different to the Apprenticeship or Higher Apprenticeship. In this instance, the Contractor should identify the difference in the content of the Higher Educational achievement compared to the Apprenticeship of Higher Apprenticeship and hold this evidence on file.
There may be circumstances where the requirements of a particular Apprenticeship Framework prevent a Learner from undertaking a Level 3 or Level 4 Apprenticeship programme without first undertaking a Foundation Apprenticeship programme. Where this is the case, Contractors must obtain approval from the Welsh Government by completing and submitting the form ‘Evidence to support the Recruitment of Level 2 Apprentices with a degree onto WBL’.
However, the Care Inspectorate Wales (CIW) has set a minimum threshold of 50% of staff to be qualified to at least NVQ Level 2 and that care homes with small numbers of staff require a higher proportion of qualified staff to cover absence. In order to meet this demand, the Welsh Government has agreed to a blanket retrospective exemption to allow the delivery of Foundation Apprenticeships to graduates employed within the Care Sector route without completion of the form.
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Evidence to support the Recruitment of Level 2 Apprentices with a degree onto an apprenticeship programme
Learner Name:
ULI / LN02 (if known)
Title of Degree:
Date Achieved:
Result [e.g. 2:1]:
Awarded by [ Name of HE Institution]:
Apprenticeship Framework [Title and level]:
Name of Employer:
Apprentice Job title/ position in company:
Justification for recruitment onto a Foundation Apprenticeship
Completed by:[Name]
Signature
Position
Date
"Work Based Learning programmes operated through Welsh Government are part-financed by the European Union European Social Fund through The West Wales and the Valleys ESF Convergence Programme."
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B3. Learners must be employed, including self-employed (except where exemption has been given by Welsh Ministers through regulation. Employment can be with a single employer or through a Shared Apprenticeship or Group Training Association model), and employers must ensure that the learner attends work and training for at least 16 hours per week (unless authorised absence has been granted). [PAGS]
NB: Employees of Work Based Learning providers are able to undertake an apprenticeship programme where all normal eligibility criteria are met and the learning is beneficial to the learner and the organisation in the context of developing skills. However, learning in more than one framework is not permitted and learning at multiple framework levels is only acceptable where the lower level is a framework requirement to progress to the higher level.
Additional Guidance
As apprentices are employed, they must be in receipt of a wage, as a minimum, in line with the National Minimum Wage (NMW) regulations rate for Apprentices. Apprentices must receive a wage in relation to both the on and off the job training elements of their programme.
Learners who are employed by an agency are eligible for entry to the Apprenticeship programme. In this instance, the provider must be satisfied that the agency is aware of their responsibility to ensure that the learner is able to complete the apprenticeship by a placement or multiple placements and is paid for attendance at any off the job training. Further the provider needs to be assured that the learner is committed to the learning.
Self employed Learners are eligible for entry onto the Apprenticeship Programme as long as all other entry eligibility requirements are met. When considering self-employment as an option, providers must ensure that the learner has sufficient support whilst on-the-job to develop through their framework. More importantly, it is incumbent on providers to ensure self-employed persons are able to learn on the job in full compliance of Health & Safety standards, particularly in respect of supervision.
Providers are required to use their best endeavours to ensure that each learner secures sustainable employment at the end of his/her apprenticeship programme (this includes self-employment). It is unlikely to be in an apprentice’s best interests to be placed with an employer that, from the outset, is only offering temporary employment for the duration of the apprenticeship. Such an arrangement would only be appropriate where there is sufficient evidence to indicate that, once qualified, the apprentice will be able to secure sustained self-employment. Where self-employment is considered a reasonable option we would expect providers to support their learners in their transition into self-employment.
Self employed construction learners must comply with the additional criteria below:
There must be no self employed Apprentices at Level 2; self employed apprentices should only be at Level 3 or above, having already attained at level 2, and must meet all other self employed criteria.
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The self-employed apprentice must have a minimum of two years experience in a related industry setting prior to commencing an apprenticeship. Examples would include domestic or industrial installation, repair or maintenance, or construction.
The self-employed apprentice must be effective supervised by an experienced person in the trade or sector relevant to the apprenticeship. The supervisor must be someone who has sufficient training, experience, knowledge and other qualities that would allow them to assist an apprentice properly. The level of competence required will depend on the complexity of the situation and the particular support required.
The self-employed apprentice must have proper sign off of tasks / competency by a competent industry person or employer. For example, proof of competency would be signed off by an industry qualified person with proof of competency being a CSCS / CPCS at the appropriate level and occupation, or an Industry regulated Electrical Heating and Ventilation certification.
The Apprenticeship provider must provide Health & Safety training and the apprentice must have an appropriate CSCS card i.e. an apprentice CSCS card.
The provider should ensure that the apprentice does not undertake any activities that they are not trained for/or qualified to undertake during the apprenticeship; other than under direct supervision from an industry qualified supervisor (see above) and only if the activities do not contravene any legal requirement for competency; such as Gas Safe.
For all other vocational sectors, it would be good practice to adhere to the above requirements.
B4. Learners must meet the entry requirements set out in framework guidance from the Sector Skills Council or other designated Issuing Authorities. [PAGS]
B5. Contractors are responsible for ensuring that only eligible Learners are enrolled on a Foundation Apprenticeship, Apprenticeship or Higher Apprenticeship programme. The eligibility of the Learner must be established before or upon entry to the programme. This should include the practicality of providing a place to a Learner who may be unable to complete their programme including those likely to leave their current domicile permanently during the expected duration of the programme. Contractors should retain evidence of the Learner’s eligibility and will be asked to produce it to the Welsh Government. [PAGS]
Ineligibility for Apprenticeship Programmes
B6. Individuals are ineligible for entry to the programmes if they are, at the point of entry:
i. of compulsory school age; or ii. attending school or college full-time as a pupil or student; or iii. in full time higher education; or iv. an ineligible overseas national; or v. in custody or on remand in custody; or
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vi. in receipt of an Assembly Learning Grant or Education Maintenance Allowance; or
vii. supported by the UK Government’s Work Programme and have a contract of employment for less than 16 hours per week; or
viii. taking part in any other employment or enterprise programme funded directly by the UK Government or the Welsh Ministers; or
ix. taking part in any other UK Government or Welsh Ministers funded vocational learning programmes; or
x. taking part in any other EU funded employment or enterprise programme or vocational learning programme (or any other form of EU funded scheme) unless permitted under ESF funding regulations - please refer to section 3 - European Funding Manual for further advice. [PAGS]
Additional Guidance
Individuals who are supported by the UK Government’s Work Programme are ineligible to undertake an apprenticeship programme if their contract of employment (with the employer who would authenticate the Apprenticeship Learning Agreement) is for less than 16 hours per week.
To ensure that as many Learners as possible can access the Apprenticeships programme, Learners should not normally undertake two apprenticeships at the same level from the same framework. It will normally be acceptable either for Learners to progress, e.g. from a level 2 Foundation Apprenticeship to a level 3 Apprenticeship framework.
B7. The Welsh Ministers will not pay any sum in respect of ineligible Learners and will seek repayment of any sums paid in error.
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Section C: Learner Terms and Conditions
Learner Entitlement
C1. A Learner must have an Apprenticeship Learning Agreement (ALA) which notifies in writing his/her terms and conditions of learning with the Contractor and employer upon starting a programme. The ALA includes commitments required under the ASCL Act 2009. S/he must similarly be notified of any subsequent changes to terms and conditions of learning. In addition a Learner must have an Individual Learning Plan (ILP). A link to the ALA can be found below. [PAGS]
http://gov.wales/topics/educationandskills/skillsandtraining/apprenticeships/providers/?lang=en&gjjkg
C2. The terms and conditions for a Learner already in learning (i.e. Learners that started learning on or prior to 31 March 2015) shall not be adversely affected by changes subsequently agreed between the Welsh Ministers and the Contractor.
C3. Contractors must ensure that apprentices receive both off-the-job training and on-the-job training in line with SASW.
Additional Guidance
The hours of training delivery arranged by an apprenticeship Contractor may differ from the figures contained in the framework specification, as each Learner may begin an apprenticeship with previous learning or achievement that should be recognised and counted.
For the purposes of claiming apprenticeship certification, there is no requirement on Welsh Government funded Contractors to keep specific records of the learning hours. Organisations who supply Apprenticeship Certificates (such as SSCs) have agreed that attendance on a funded apprenticeship programme is sufficient evidence that the framework hours have been met, and will accept a ‘tick box’ declaration.
From an audit and funding perspective, Contractors will not be required to separately identify on-and off-the job training hours for Learners; albeit Contractors will need to ensure that they comply with the Welsh Government’s Data Submission Guidance and its Guidance on Evidence Requirements to Support Funding and Payments.
In the unlikely event that the validity of a claim for apprenticeship certification was challenged, the certifying organisation could request sight of documents such as initial assessment, training plans, training agreements and/or any Recognition of Prior Learning (RPL)/ Recognition of Prior Achievement (RPA) records from Contractors before providing a certificate.
It is also possible for a person to apply for an apprenticeship certificate having followed a framework independently. This is learning which takes place outside of a government-funded programme, for example, an employer utilising a published framework as part of their own in-house staff development programmes.
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In such cases the on-and-off-the-job requirements are set out so that the person applying for the apprenticeship certificate knows exactly what evidence they may be required to provide to support their application.
The organisation providing Apprenticeship Certificates has the right to request supplementary evidence of hours of training to support the application for a certificate for the purposes of verification.
C4. The Contractor shall endeavour to provide suitable alternative learning for a Learner who has reasonable grounds for dissatisfaction with their programme of learning, or who is not making satisfactory progress, or where provision of learning as agreed in the ILP is no longer available.
Participation
C5. The Contractor must ensure the Learner is participating in his/her learning programme during the period of learning and must be able to provide evidence that a Learner is attending a programme of learning. Where the Contractor cannot provide satisfactory evidence the Learner shall be suspended (see clauses F5-F7).
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Section D: The Learning Process
D1. The Contractor must design and implement effective policies, procedures and use Learner-centred documentation to facilitate the following activities:
i. initial assessment, including assessment of essential skills needs; ii. the planning of learning and the compilation of ILPs; iii. ongoing assessment; iv. reviews of progress; v. mentoring; and vi. Accreditation and verification. [PAGS]
Recruitment/Referral
D2. The Contractor must have documented procedures for ensuring that Referral Agencies are informed about the provision the Contractor offers and are kept up to date about any developments or changes in the provision.
D3. As a minimum, the Contractor must submit, and update as appropriate, details of its portfolio of provision to Career Choices Dewis Gyrfa for inclusion in the Courses in Wales Database as prescribed by Career Choices Dewis Gyrfa.
D4. The Contractor must ensure that all Foundation Apprenticeship, Apprenticeship and Higher Apprenticeship vacancies are entered on the Apprenticeship Matching Service database and communicated to Career Choices Dewis Gyrfa.
Additional Guidance
The Apprenticeship Matching Service is an on-line matching service to assist employers in finding suitable Apprentices, and aspiring Apprentices, to find employers. It has been developed by Career Choices Dewis Gyrfa under contract to the Welsh Government and is available on the Career Choices Dewis Gyrfa website at http://www.careerswales.com/en/.
Initial Assessment
D5. The Contractor must ensure that all new Learners are assessed either prior to, or immediately upon, entering learning.
D6. The Contractor shall ensure that all Learners undertake an initial assessment to identify previous learning, current learning requirements and any additional learning and support needs (including essential skills needs) which shall be recorded on the ILP. The ILP must be agreed by the Learner, the Contractor and the employer and be completed within four weeks of the start date. Further learning and support needs identified through regular progress reviews should be reflected in updates to the ILP. The ILP must also be kept up to date with any changes to the learner’s personal details (name, address and contact details), and with the titles and start dates of any additional learning activities which commence during the learning programme. [PAGS]
D7. All Learners entering Foundation Apprenticeship, Apprenticeship and Higher Apprenticeship programmes must undertake an initial and diagnostic assessment of essential skills using the WEST as follows:
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Mandatory
communication - within 61 days of the start date;
application of number - within 61 days of the start date; and
digital literacy – within 61 days of the start date if included as part of the qualification framework. [PAGS]
Optional
For most other vocational sectors, it would be good practice to undertake a digital literacy initial assessment as above.
Additional Guidance
The need for essential skills support should not necessarily be a barrier to entering Foundation Apprenticeship, Apprenticeship or Higher Apprenticeship programmes.
Recognition of Prior Achievement (RPA)
D8. Contractors must take into account all prior achievements of an individual and not require, nor offer, training which replicates a prior achievement. Contractors must verify and record prior achievement that provides exemptions, proxies or other unit/credit based achievement towards the qualifications contained in the nominated apprenticeship framework. [PAGS]
As from 14 October 2016, learners who have achieved a qualification recognised as an alternative to Essential Skills as detailed under the apprenticeship framework are not required to undertake Essential Skills qualifications. However, if a learner’s WEST assessment identifies that the learner has essential skills deficits which would inhibit progress through the framework, this need must be addressed. More information on proxy qualifications can be found at:
http://gov.wales/docs/dcells/publications/161014-sasw-en.pdf
Recognition of Prior Learning (RPL)
D9. Contractors must pay particular attention where Learners have previously participated on the 14-19 Learning Pathways, Jobs Growth Wales, or similar programmes to ensure that an individual’s learning achievements have been cross-referenced against the learning aims of the qualifications within the nominated framework. The duration of training and ILP shall be adjusted accordingly. [PAGS]
Planned Learning and Individual Learning Plans (ILP)
D10. All learning must be planned to meet the Learner’s individual needs as identified during initial assessment. [PAGS]
D11. An ILP must, as a minimum:
i. clearly identify the learner by name and unique identifier;
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ii. specify the Apprenticeship framework to be followed by its title and number;
iii. identify both on-the-job and off-the-job training; iv. include the Learner’s prior learning and assessed needs; v. specify the expected duration of learning, which allows the Learner a
reasonable prospect of successfully completing his/her learning; vi. set out the start date and the frequency of reviews to be followed, e.g.
Learners shall have their progress reviewed at intervals of no greater than 61 calendar days;
vii. set out the planned attendance; viii. set out any agreed support arrangements; ix. specify by name, level and reference number, approved qualifications
which the Learner aims to achieve; x. contain a brief statement of the Learner’s employment or career
objectives; xi. specify the Learner’s preferred language of learning and requirement for
Welsh-medium or bilingual delivery of learning during the programme; xii. specify within the learning plan opportunities to maintain and/or develop
the Learner’s Welsh language skills during the learning period; xiii. be agreed by the Learner, the Contractor and the employer; and xiv. contain a declaration authenticated by the Learner that s/he has agreed
the ILP and that s/he has commenced the activities contained within it. This declaration should also confirm that the Learner has been made aware of the support of the European Social Fund. [PAGS]
D12. The Contractor must ensure that the activities agreed in the ILP are carried out. [PAGS]
D13. A copy of the Apprenticeship Framework being undertaken should be made available to the employer and learner.
D14. Any subsequent changes to the ILP must be agreed between the Learner, employer and the Contractor and recorded on the ILP, together with the Learner’s confirmation that the changes have been agreed. [PAGS]
D15. Learners shall have unrestricted access to information on their learning arrangements including their ILP. [PAGS]
D16. Providers are required to register the learner with the relevant awarding body within the maximum timeframe given by that Awarding Organisation or eight weeks of the learner starting the learning activity where no timeframe is specified. If a Learner is on an Apprenticeship programme, and undertaking both level 2 and level 3 as part of the framework, the requirement to register for the level 3 qualification shall be within eight weeks of progressing from the level 2 to the level 3. Similar arrangements must be in place if a Learner is undertaking level 2 or 3 as part of a Higher Apprenticeship framework. [PAGS]
D17. The Contractor must report the registration for each qualification to the LLWR through an appropriate Award record by the end of the period in which the registration takes place. For each qualification registered and reported to the LLWR, the Contractor must record the result of the qualification within the LLWR in the relevant Award field, by the end of the period in which the evidence of achievement, or notification of withdrawal or failure, becomes available. [PAGS]
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On-going Assessment
D18. The Contractor shall ensure that on-going assessment:
i. assesses competence against ILP objectives; ii. is planned to meet the individual Learner’s needs; iii. meets the criteria set by the awarding body; and iv. is recorded to awarding body standards
Reviews
D19. The Contractor will need to review each Learner’s progress as frequently as necessary. As a minimum, Learners on Foundation Apprenticeships, Apprenticeships, or Higher Apprenticeships shall have their progress reviewed at intervals of no greater than 61 calendar days. This measurement should be applied from the start date and thereafter from the date of the last review undertaken. [PAGS]
Additional Guidance
The Contractor shall ensure that the progress review:
Is conducted in an appropriate environment, away from the pressures of the workplace;
Has sufficient time for proper discussion; and
Involves the Learner, the learning Contractor and the employer.
A review shall include:
actions agreed at the previous meeting;
progress towards achieving the individual learning plan, this should also include explanations for poor progress if applicable;
details of assessments undertaken;
progress towards qualifications (if appropriate);
identification of any obstacles to completing the programme and the support offered to address;
agreed forward plan of learning for the period to the next review; and
any agreed amendments to the individual learning plan.
Records of the review should be in a format that helps the review meeting to be effective. A record should:
include space to record progress and list actions ;
show clear progression from one review record to the next in terms of actions agreed and follow up; and
include comments from the Learner, employer and learning Contractor
D20. Reviews should only take place when a Learner is in attendance, in person or virtually, at either the Learner’s designated place of learning or the placement Provider’s premises. The date, place and time of the next review should be agreed as part of the review process. [PAGS]
Accreditation and Certification
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D21. Accreditation and certification must be to awarding body standards, complying with the relevant internal and external verification systems.
D22. If the Apprentice has completed all elements of the framework it would normally be appropriate to show learning as completed. Where the learner is awaiting confirmation of the outcome of IV or EV, the learning should be shown as completed in the LLWR with the anticipated outcome. This outcome should be amended (if necessary) following the verification process.
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Section E: Learning Support
E1. Contractors must ensure that Learners are provided with support and/or personal assistance to enable them to access or remain in learning and realise their potential.
E2. Any post 16 learning funded by the Welsh Ministers, including Foundation Apprenticeships, Apprenticeships, or Higher Apprenticeships, is a potential route to meet a request for support under the ‘Right to Time Off for Study or Training’.
Apprentices Aged 16-19 (see also Apprenticeship Programme section A).
E3. All Foundation Apprentices, Apprentices and Higher Apprentices aged 16-19 on entry will, as participants in the 14-19 Learning Pathways, be entitled to three strands of learning support. These are:
Learning Coach Support
Access to a named learning coach either within the Contractor organisation or through a third party, who will provide the Learner with advice on how to maximise his/ her own ability and learning skills.
Access to Personal Support
Where appropriate, to facilitate access to the personal support, via Youth Support Services, to develop solutions to and overcome situations in their lives which are barriers to their learning.
Careers Information, Advice and Guidance
The entitlement to impartial careers information, advice and guidance. Where careers education is provided, “Careers and the World of Work: a framework for 11 to 19 year olds in Wales” http://www.careerswales.com/prof/upload/pdf/Careers_Wow_WEB_(E).pdf and “Careers and the World of Work: supplementary guidance” https://www.careerswales.com/prof/upload/pdf/careersworksupplementaryguidance-e.pdf are the key documents which the Contractor must use to review and develop their provision. Specialist independent and impartial careers information, advice and guidance are typically provided by professional advisers from Career Choices Dewis Gyrfa.
Additional Guidance
It is considered good practice for the Learning Coach and the individual carrying out the review to be different people.
Additional Learning Support
E4. Additional Learning Support must be provided for Learners with additional learning needs which:
i. arise from a learning difficulty and/or disability; ii. is over and above that provided for in a learning programme; and
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iii. is necessary to enable the individual Learner to achieve framework success. [PAGS]
E5. The definition of learning difficulty and/or disability does not include Learners with support needs arising from a functional literacy or numeracy difficulty (i.e. basic skills) or Learners for whom English (or Welsh) is a second language. [PAGS]
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Section F: Requirements when Completing/Leaving the Programme
F1. Where a Learner is made redundant or otherwise changes his/her employer, the Contractor must endeavour to find an alternative employer and/or another Contractor who has been awarded a work based learning agreement by the Welsh Ministers. The Contractor shall use its best endeavours to minimise disruption for the Learner and seek to ensure that the Learner’s qualification aims are met. The Contractor must retain evidence of the Learner’s redundancy and of efforts made to make alternative arrangements. [PAGS]
Additional Guidance
As a minimum, we would expect a Contractor to support an apprentice who is made redundant by:
Contacting other relevant employers they work with to see whether any
other suitable vacancies may be available;
Contacting other Contractors to see whether any other suitable vacancies
may be available;
Referring the Learner to Career Choices Dewis Gyrfa for advice on their
possible options;
Referring the Learner to the Apprenticeship Matching Service to see
whether any suitable vacancies are advertised.
The Contractor may also identify other actions which are appropriate to support an apprentice who is made redundant, e.g. Jobs Growth Wales opportunities, but the primary focus should be to enable the apprentice to continue the apprenticeship.
Exceptional Training Allowance Support
F2. It is recognised that where an apprentice becomes unemployed, Contractors may be required to transfer Learners to non-employed status whilst the Contractor supports the Learner to seek new employment. In this situation, Learners shall receive a training allowance of £50 per week for at least 30 hours attendance per week: for those Learners attending for less than 30 hours per week, payment of training allowances must be reduced proportionately on a pro rata basis; and Learners shall also be reimbursed necessary reasonable travel costs in excess of £5.00 per week, whilst attending learning. Payment of these costs for up to six weeks is reimbursable from Welsh Government. Contractors are reminded that they must inform Career Choices Dewis Gyrfa of all 16-19 year old Learner leavers within 10 working days of the leave date.
F3. Where a Learner is unable to secure an alternative employer, the Learner may continue in learning for up to six months to complete their Apprenticeship. The Learner must be paid a learning allowance commensurate with attendance.
F4. Where exceptional training allowance funding is allocated, Contractors must retain a record of all payments to the Learner.
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Suspension from the Learning Programme
F5. A suspended period of learning should only be applied where the learner is off work for an extended period of time e.g. as result of ill health, maternity etc. or (in exceptional cases) where the learner’s circumstances necessitate a one-off break in their learning programme. Where a suspension occurs, the Contractor is required to maintain:
written evidence to confirm that the learner is committed to returning to their learning programme after the suspended period; and
written evidence to confirm that employer has agreed the suspension, the length of suspension and requires the learner to recommence their learning programme after the suspended period.
A suspended period of learning cannot be applied as a mechanism to manage contractual requirements e.g. in relation to meeting Contractor review timescales. With the exception of statutory minimums for maternity or other statutory leave, suspension must not exceed 13 consecutive weeks unless permitted by the employer’s terms and conditions. [PAGS]
Additional Guidance
It is expected that a suspension will normally apply where a learner is absent from their place of work for an extended period of time and plans to continue learning once they return to work. Acceptable reasons for suspension include:
Learner illness;
Maternity leave;
Personal reasons which result in a period of employment absence e.g.
bereavement, caring for a sick relative;
Extended holidays;
Termination of employment (where the contractor is unable to continue the
learning programme within centre).
It is not routinely acceptable to apply a suspended period of learning where the learner is still in work but is struggling with the commitments of the apprenticeship programme (e.g. due to study or employment workloads). In this situation, the Contractor would be expected, in the first instance, to work with the learner/employer to ensure the apprentice remains on his/her programme. In addition, providers must ensure that both employer and learner expectations of the apprenticeship are managed at the outset. Prior to entry it is incumbent on the Contractor to ensure that the learner and the employer understand the commitment e.g. in relation to off the job training, on the job support, engagement with the provider for assessments/reviews etc. In exceptional circumstances and where both the employer and the learner are in agreement, a learner who is still in employment may be suspended from their programme for up to 13 weeks. A learner must not be suspended from their learning programme more than once in relation to these ‘exceptional circumstances’. ‘Exceptional circumstances’ are at the discretion of all parties and should only be applied where a commitment to recommence learning at the earliest opportunity, is evident.
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It is not acceptable for a provider to suspend a learner in order to remedy a provider-system failure. For example, it is unacceptable for a provider to systematically place learners on suspension because it cannot meet the maximum 61 day review timescale. Providers must ensure that they effectively manage their delivery in order to ensure that, with the exception of relatively small number of learners, reviews are undertaken on time. Where a review cannot take place before 61 days have elapsed, providers are expected to document the reason for the late review and undertake the review as soon as possible. Reviews are a vital part of the apprenticeship programme and providers must ensure that these meetings are properly planned for (you will wish to note that some tolerance is given at audit if a review is undertaken beyond 61 days).
Providers must have a system in place to ensure that length of time on suspension is frequently monitored and does not exceed the 13 weeks maximum or the relevant statutory period or employer terms & conditions if greater. Contractors must ensure that they obtain evidence from the employer to confirm all suspensions. For example, the evidence could include a letter or email from the employer confirming the reason for the suspension, the expected duration and confirmation that the employer is holding the post for the apprentice to return.
F6. If a Learner is suspended from learning they must be given a progress review upon re-entry to learning. [PAGS]
F7. The Contractor must review suspensions and terminate the Learner’s place on the programme of learning if there is no likelihood of a return to learning. Should the Learner not return to learning at the end of the period of suspension the Learner will be deemed to have terminated learning. This will take effect from the last working day for which there is evidence that the Learner attended a programme of learning. Once the Learner’s status has been clarified or when the maximum period of suspension is exhausted, the Contractor must update the relevant fields in the LLWR immediately. For the avoidance of doubt, suspensions relate to the suspension from the Learning Programme and not suspension from individual learning activities. [PAGS]
Progression from one programme to another
F8. A learner progressing directly from a Foundation Apprenticeship to an Apprenticeship or an Apprenticeship to a Higher Apprenticeship is counted as a continuing learner; the provider is not required to complete a new enrolment form. Progressions should take place within eight weeks of completion of the lower level framework. [PAGS]
Additional Guidance
However, the provider must:
Check that the information it holds on the learner is accurate and complete a Change of Circumstance form if any details have changed;
Undertake eligibility checks, if more than eight weeks have elapsed between the end of the first programme and the start of the next;
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Update the learner’s ILP to include details of the new programme e.g. start date, expected duration and framework details; it is expected that the ILP will be a working document that is updated to reflect the current position;
Update the learner’s Apprenticeship Learning Agreement (if the employer is the same for both programmes) or prepare new a agreement and SME4 (if the employer is different); and
Set up new LP, LA and AW records on the LLWR for the new programme of learning. This information does not have to be physically signed-off by the learner as long as the ILP has been updated, as outlined above.
Transfer to a new Contractor
F9. When apprentices transfer from one Contractor (the outgoing Contractor) to another Contractor (the new Contractor), it is the responsibility of the new Contractor to ensure the following documents supporting the Learner’s eligibility, prior to and at the start of learning, are received from the outgoing Contractor:
a copy of the Learner’s ILP;
evidence of essential skills assessments;
copies of all assessments and reviews to date.
F10. The outgoing Contractor must keep the originals of all forms for their own records and enter the transfer details into the LLWR. It is the responsibility of the outgoing Contractor to supply copies of the relevant forms and data to the new Contractor as well as retaining auditable evidence from the new Contractor that the transfer has taken place e.g. an email or letter.
Re-entering Learning
F11. Once a Learner has left learning, re-entry is only appropriate if entry eligibility conditions are met (i.e. the Learner has not become ineligible). [PAGS]
Recording Transfers, Suspensions and Terminations from Learning on the Lifelong Learning Wales Record (LLWR)
F12. When a Contractor identifies that a Learner has transferred, completed or ceased learning, either permanently or temporarily, action must be taken immediately to record this through the LLWR online data collection system. The Contractor must ensure that for each Learner who completes or ceases learning the necessary evidence and documentation requirements are met. [PAGS]
Exit Arrangements
F13. The Contractor shall endeavour to ensure that all Learners (including early leavers) have an exit interview to determine options and future career learning needs. Career Choices Dewis Gyrfa shall be notified of all leavers and potential early leavers at least on a monthly basis.
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Section G: Progress for Success (PfS)
Progress for Success closed to new starts from 1 August 2017. The guidance below relates to learners who were recruited onto a PfS programme prior to this date.
All of the requirements and conditions stipulated for the Apprenticeship programme apply to the Progress for Success Programme, except where requirements differ as specified below. Contractors for PfS must comply with the following:
G1 Contractors must prioritise the up-skilling of practitioners that need to achieve Level 2 accreditation, prior to undertaking a Level 3 accreditation (this is estimated to be approx. 10% of those existing practitioners currently not Level 3 accredited). Contractors are only permitted to deliver the Apprenticeship Frameworks listed at G12. Contractors must achieve an 85% framework success rate.
G2 Contractors are responsible for assessing whether participants require a Level 2 qualification prior to undertaking a Level 3 qualification.
G3 Contractors are responsible for recording data on whether participants are able to speak, read and/or write in Welsh. They will be responsible for ensuring participants within Welsh medium settings are offered the opportunity to undertake training in the medium of Welsh, and ensuring that Welsh speaking participants from English medium or bilingual settings are given the opportunity to undertake training bilingually.
G4 Contractors are expected, as a minimum, to reach the Welsh medium targets set for the Programme.
G5 Contractors will need to prioritise the training of permanent full time, then part time1 practitioners. Contractors will allocate participants to an appropriate cohort within the operation, over the period of the contract.
G6 Contractors will be required to make participants aware of the requirement for privacy notices and actively encourage them to authenticate these, to enable contractors to contact them for evaluation purposes in order for us to better evaluate the PfS operation.
G7 Contractors must only use the PfS marketing materials produced and issued by
the marketing contractors2, which have been authorised by Welsh Government, and are able to include their own logos in addition to the WG and ESF logos for particular materials. All course materials produced by contractors must include and display the WG and ESF logo, and highlight that the courses are subject to ESF support.
1 Defined as those in employment for 16+ hours per week
2 Successful contractor are SBW Advertising, electronic versions will be provided but
contractors will be required to take responsibility for the printing of hard copies
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G8 Contractors will be required to ensure that any participants choosing to undertake qualifications through the medium of Welsh are provided such training, support and assessment by appropriately qualified Welsh speaking staff.
G9 For self-employed registered child-minders, contractors will need to be assured that appropriate checks and balances are in place to conduct assessments. It is a contractor’s responsibility to make sure that a self-employed participant has the requisite skills to function in the vocational area.
G10 Those learners who are aged between 16-24 and/or those wishing to undertake Higher Apprenticeships may be supported through the mainstream Apprenticeship Programme are not eligible for funding through the Progress for Success programme.
Eligibility
G11 All participants must be undertaking an Apprenticeship Framework; all evidence and eligibility requirements are consistent with the Apprenticeship Programme. However, in addition to these requirements contractors must ensure the following is evidenced prior to a participant being accepted onto training:
a) Learners are aged 25 or above. b) Learners are employed for 16 hours or more in either an Estyn Inspected or
CSSIW registered early years, childcare or play setting in Wales, or are a CSSIW registered self-employed child-minder in Wales. Employment would ideally be with a single employer but a Shared Apprenticeship may be permitted on a case by case basis and to be agreed with WG.
c) Learners have been employed by the same employer/self-employed for longer than 4 weeks.
d) The postcode of the learner’s employment is in Wales. e) Contractors must ensure that an Apprenticeship Agreement is in place for all
learners, to evidence employers’ consent. f) Contractors are responsible for ensuring that only eligible learners are
enrolled on a Foundation Apprenticeship or Apprenticeship under PfS. The
eligibility of a learner must be established and evidenced before the start of their programme of learning. This should include the practicality of not providing a place to any learner who may be unable to complete their programme of learning, including those who may be likely to leave their employment permanently during the expected duration of the programme.
g) Contractors must retain evidence of the learners’ eligibility and may be asked to produce it to the WG at any point.
Eligible Frameworks
G12 The Progress for Success programme will only fund the following Apprenticeship Frameworks:
Level 2: Foundation Apprenticeship in Children’s Care, Learning and Development Level 2: Foundation Apprenticeship in Playwork Level 3: Apprenticeship in Children’s Care, Learning and Development Level 3: Apprenticeship in Playwork
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Data Returns
G13 Contractors must complete LLWR Field LP51 with either an entry of PFS for each participant. All other LLWR fields are to be completed in line with the requirements for an apprenticeship programme.
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Section H: Shared Apprenticeship Delivery
H1. Shared Apprenticeship delivery will only be applied in exceptional circumstances.
H2. Contractors must ensure that learning delivery through a Shared Apprenticeship complies with all aspects of the Apprenticeship programme specification. In addition, Contractors delivering via a Shared Apprenticeship model must be able to evidence that:
i. effective arrangements are in place to engage employers, including SMEs, in the Apprenticeship programme;
ii. the Contractor can facilitate the rotation of Apprentices between employers to ensure that each Learner has a rounded learning experience;
iii. each Apprentice has a formal contract of employment and Apprenticeship Learning Agreement, either with the Contractor (in ‘host employer’ models) or with one ‘lead’ employer;
iv. each Apprentice’s placement with each separate employer is captured in their ILP, including the specific objectives/ specialist experience which will be gained from the placement;
v. processes are in place to ensure effective communication with all employers engaged in the learning process;
vi. employers are appropriately engaged in Learner progress reviews, and reviews are scheduled around the Apprentice’s rotation between different employers;
vii. all of the employers involved are able to provide relevant vocational activities and support during Learner placements, so that each Apprentice has a suitably balanced experience; and
viii. the programme is marketed to key stakeholders including employers, schools, 14-19 networks and Career Choices Dewis Gyrfa, and they are fully involved in the recruitment of Apprentices.
H3. The Welsh Government expects that learners following a shared model will secure sustainable employment on completion of their apprenticeship. The delivery and outcomes of Shared Apprenticeships will be monitored in the same way as other Apprenticeship programmes; however, some additional information will be required from the Contractor in order to evaluate the effectiveness of this model of delivery. This is likely to include but is not limited to the names of each of the employers providing Learner placements, and information on Learners progressing from a ‘host employer’ arrangement to employment.
H4. The Welsh Government reserves the right, in exceptional circumstances, to provide additional financial support and administration costs, as appropriate.
H5. The Welsh Government issued guidance about a shared apprenticeship protocol to WBL Providers, please see Section 2 – Guidance Notes. The protocol can be seen below.
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Protocol Shared Apprenticeships activities should: Market need • be led by a lead contractor within the Work Based Learning (WBL)
contracted network.
• complement and not displace existing Apprenticeship provision.
• justify operating a shared model instead of directly employed
Apprenticeships, i.e. addressing market failure.
• be representative of the sector, geographical area/Enterprise Zone and all
key partners/stakeholders.
Operating
model • use Welsh Government funding solely to support Apprenticeship related
activities such as a contribution to wage costs or co-ordination activities.
• provide full-time, waged employment including covering the time
apprentices spend off-the-job training.
• have a clear engagement strategy and engagement criteria to secure host
employers whilst not replacing existing Apprenticeship opportunities.
• demonstrate a close working relationship with organisations currently
engaged in the promotion of Apprenticeships to employers. • offer Apprenticeship places to a network of employers including, where possible, a minimum 50% of SMEs. • use the existing network of Work Based Learning (WBL) providers in Wales for the delivery of Apprenticeships.
• endeavour to secure sustainable employment for at least 90% of
apprentices at the end of or during the shared Apprenticeship, preferably at a
salary above National Minimum Wage. Added value
• ideally use a minimum combination of at least two host employers per
Apprenticeship. • engage new employers into Apprenticeships, including onto mainstream Apprenticeship provision. • seek to enter high calibre apprentices into prestigious, high profile skills competitions such as World Skills. • support pre-apprenticeship programmes such as Jobs Growth Wales (JGW)/ Working Wales. • encourage females/males into non-traditional sectors, i.e. females into STEM subjects. • prioritise recruitment to those aged 16-19, those with protected characteristics and those living within areas of deprivation as indicated by the Welsh Index of Multiple Deprivation. • demonstrate benefits to host employers such as: improved profitability or customer satisfaction. • offer the delivery of Apprenticeships through the medium of Welsh or bilingually, particularly in predominantly Welsh speaking areas.
Quality • deliver an Apprenticeship framework success rate of at least 81%
• ensure the host employer has ultimate responsibility for the welfare, health
and safety, learning and employment of the apprentice.
• have clear systems to ensure that host employers can give necessary and
appropriate support to the apprentice.
• engage with employers looking to recruit into future jobs, not those who use
the scheme as a source of temporary agency staffing. • operate a robust recruitment process for apprentices including advertising vacancies via the Apprenticeship Matching Service (AMS)
• ensure that on-going Information, Advice and Guidance (IAG) on careers
are available for the apprentice.
• ensure that the host employer(s) offer the apprentice productive
employment which supports the Apprenticeship framework.
• ensure that the length of the programme supports the beneficial outcomes
associated with Apprenticeships.
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• promote equality of opportunity to Apprenticeship places, including to
under-represented groups.
Employment law • comply with all relevant employment law and regulation, including those in
the Employment Agency regulations.
• agree a wage in conjunction with the host employer which must be at least
the legal minimum wage.
• ensure clarity about the responsibilities of an employee, set out for the
apprentice in a handbook or guidance document. • ensure apprentices are working under an Apprenticeship Learning Agreement; this forms part of their Contract of Employment.
Eligible Costs • consider costs – the following being examples: • salaries.
• overheads.
• travel. • staff co-ordinator.
• recruitment.
• marketing.
Exit Strategy • be financially sustainable and not dependent on Welsh Government
funding, including wage contribution subsidy, in the medium to longer term.
Regional Skills Partnerships
(RSPs)
• be endorsed by the relevant regional RSP.
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Section I: Support for Young Apprentices and the Apprenticeship Employer Incentive
YOUNG RECRUITS PROGRAMME (YRP)
I1. Previous arrangements for YRP remain extant until participants complete their period of previously approved YRP support. Please refer to Version 1.8 of Programme Specification and Guidance April 2015 – March 2019.
I2. YRP may be available for learners who are recruited onto an approved Shared Apprenticeship programme (see – Section H) but this will be determined on a case by case basis.
SUPPLEMENTARY FUNDING FOR LEARNERS AGED 16-18
General Information
I3. In order to encourage vocational opportunities for school leavers, additional young learners who are recruited and commence their apprenticeship programme during the summer period or the spring period will attract an enhanced funding rate (over and above the value determined under the activity cost model).
I4. For 2016/17 this supplementary funding will apply to additional young learners aged 16-18 and will apply to the periods from July-October (inclusive) and January-March (inclusive).
I5. From 2017/18 onwards, this supplementary funding will apply to additional young learners aged 16-19 and will apply for the periods from July – September (inclusive) and January – March (inclusive) in line with the Apprenticeship Employer Incentive.
Eligibility for the supplementary funding rate
I6. Providers will only receive enhanced funding for each additional eligible learner they recruit. That is, the increased funding rate will only apply to each learner who is recruited over and above the number of young learners who started their apprenticeship programme (within the two specific periods) during the baseline year.
I7. Eligible learners must also satisfy the following eligibility criteria:
Met the relevant age stipulation at the start of their first apprenticeship programme;
be recruited and commence their apprenticeship in the relevant summer period or the spring period;
have not been employed by the employer prior to entering the Apprenticeship;
be enrolled upon a Foundation Apprenticeship or Apprenticeship framework; and
have a contract of employment for at least 16 hours per week.
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Use of the enhanced funding
I8. The enhanced funding must be used to provide employer support to create apprenticeship opportunities targeted at the recruitment of school leavers.
I9. The type of support that providers can offer is not currently prescribed. However, providers are unable to ‘gift’ the additional funding to the employer by way of a wage subsidy of other direct financial payment or incentive.
I10. Acceptable uses of the additional funding would include (but not be limited to):
a. Support for events organised by the Welsh Government, including ‘Have a Go’, by manning stands; allowing staff to familiarise themselves with ‘Have a Go’ equipment;
b. Working with employers, particularly micro-businesses, small businesses and other businesses that have not recruited apprentices, to develop recruitment strategies which encourage applications from school leavers, including supporting the evidenced costs of an employer’s recruitment activities;
c. Working with employers to consider the recruitment of apprentices as part of its succession planning, including
i. Support employers to develop links with Careers Wales and schools;
ii. Additional coaching and mentoring support for the employer to help school leavers in the transition into work; and
iii. More frequent one-to-one mentoring to ensure that learners remain focussed and achieve their framework at a rate which is at or better than expected.
Additional Guidance
This list is not exhaustive and providers should contact Welsh Government if they consider other uses of this funding (which are not listed) with the potential to achieve the desired outcomes.
I11. The use of this enhanced funding will not be subject to direct audit, but providers may be requested to provide information on how any additional funding has been used to increase the recruitment of young learners.
Data Returns
I12. Contractors must complete LLWR Field LP51 with an entry of ‘ENH’ for each additional eligible learner. Failure to do so will result in no additional funding.
Payments
I13. Eligible learners will attract an extra six induction units (IUs) at the start of their apprenticeship programme. Thereafter, they will revert to the standard number of IUs per year.
I14. Eligible learners will also attract a delivery Credit Equivalent Unit (CEU) uplift of 30 per cent on the standard framework cost. This uplift will apply for the duration of the apprenticeship programme.
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Additional Guidance
This only relates to the first apprenticeship i.e. where a learner progresses to a higher level with the same employer, the uplift will only relate to the lower level.
I15. The Welsh Government will review the appropriateness of this uplift on achieving the desired aims and reserves the right to cease or suspend this uplift at any point with not less than 60 days notice.
I16. Additional payments will be made to providers, in arrears, based on data recorded within the Lifelong Learning Wales Record (LLWR). Any payments that are paid in relation to this funding supplement will be over and above a provider’s apprenticeship programme commission.
Reclaim
I17. Enhanced payments will only be made in respect of each additional learner. Where a provider claims enhanced funding for learners that are not deemed to be additional (based on Welsh Government baselines), the Welsh Government will reclaim the extra funding awarded in respect of these learners.
I18. The Welsh Government reserves the right to cease the enhanced rate for any provider who consistently makes improper claims for this additional funding.
APPRENTICESHIP EMPLOYER INCENTIVE
General Information
I19. The Apprenticeship Employer Incentive offers financial support for small to medium sized employers (SMEs) to recruit individuals aged 16 to 19 into full-time employment (i.e. at least 30 hours per week) through the apprenticeship programme[PAGS]
Additional Guidance
Support will only be offered to employers who meet the EU’s definition of an SME (see Chapter 3, European Funding Compliance Guidance)
I20. In order to encourage more apprenticeship recruitment at the point of educational transition, there will be a higher rate of support for apprentices recruited during July-September and January-March. [PAGS]
I21. Apprentices who are recruited during the transitional points mentioned above could attract £3,500; with all other apprentices attracting £2,500. SMEs may be eligible for support for up to three apprentices; the three apprentices need not start concurrently, eligibility for the second and third apprentices applies at the commencement date of the first eligible entry. [PAGS]
I22. The support is available for apprenticeship starts from 1 August 2017. The Welsh Government intends to review the success of the incentive after 12-18 months and reserves the right to withdraw the incentive for new learners at any point. [PAGS]
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Eligibility
I23. Employers will be eligible for the incentive if they meet all of the following criteria: [PAGS]
Can confirm that they are not able to recruit an apprentice without the grant;
have fewer than 250 employees;
based in Wales (or the recruited employee(s) would be based in Wales for at least 51% of their time);
the status of the employer (including sole trader status) shall be confirmed through confirmation that the trader is registered with Companies House or HMRC;
have not recruited an apprentice (or signed up existing staff onto an apprenticeship programme) in the 30 month period before the start date of the first apprentice for whom you apply for the grant;
can commit to employing an apprentice(s) for 12 months or the time taken to complete the apprenticeship programme (whichever is the greater);
commit to employing the learner for at least 30 hours per week; and
agree to pay the apprentice in line with legal minimum requirements or more.
Additional Guidance
The 30 month eligibility period
The 30 month eligibility period is measured from the date at which the latest directly recruited apprentice commenced their initial apprenticeship programme. Where a previous apprentice progressed from one apprenticeship programme to another, the relevant date for eligibility purposes will be the start date of the first (initial) apprenticeship programme.
Employers are required to declare whether they directly recruited an apprentice in the last 30 months, irrespective of how long the apprentice remained with them i.e. there is no exception for former apprentices who withdrew/left their apprenticeship after a short period of time.
For the purpose of eligibility, ‘previous apprentices’ includes existing employees who were not recruited as apprentices but were signed onto an apprenticeship programme at a later date.
Limited Companies
For the avoidance of doubt, eligibility for the Apprenticeship Employer Incentive is to be applied separately to each limited company that meets the EU definition of an SME.
Sole traders
Where a sole trader has more than one non-incorporated business, then the eligibility should be applied to the sole trader (the employer) and not to each individual non-incorporated business.
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Transfer of Apprentices
Employers will only be able to claim incentive funding in respect of learners who are transferring from another employer (i.e. learners who have already commenced their apprenticeship) if the learner has a minimum of 12 months left to complete their apprenticeship programme, or the employer commits (from the outset) to progress them onto a higher level apprenticeship within 8 weeks following completion of their current apprenticeship programme.
I24. Eligible employers may be able to claim payments for up to three apprentices during the time that the incentive is available. [PAGS]
Additional Guidance
For the avoidance of doubt, where an SME is eligible to recruit one apprentice under this incentive programme, they can then recruit up to two more apprentices without having to wait for 30 months to elapse. These two apprentices can be recruited at any point (subject to the incentive programme still running) on the assumption that the employer continues to meet all other eligibility criteria (including State Aid). The level of support offered in lieu of the second and third apprentice will be dependent on the month in which they are recruited.
Where an employer recruits an apprentice under this scheme but the learner leaves the employer before 8 months have elapsed i.e. the employer has not received any incentive payment in respect of this learner, the employer will be able to replace this learner with another apprentice.
State Aid
I25. De-minimis State Aid will apply to this incentive and employers will need to confirm that they will not breach any State Aid rules by receiving an incentive payment. [PAGS]
Apprentice Eligibility
I26. The aim of the incentive is to support businesses to create new jobs and recruit 16 to 19 year-olds. [PAGS]
I27. Apprentices must meet the eligibility criteria given within Section B of this Programme Specification and Guidance. In addition, the Apprentices must be:
New employees i.e. an employer cannot use the payment to ‘convert’ an existing employee onto an apprenticeship programme;
aged 16-19 on the day that they are recruited; and
recruited as an apprentice. [PAGS]
Additional Guidance
Providers are afforded two weeks in which to complete the start documentation from the learner’s commencement of employment (or transfer from JGW) but the learner’s start documentation (including the Apprenticeship Learning Agreement) must be backdated to the learner’s start date of employment (or transfer from JGW).
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Traineeship learners who are on work placement with the employer are not defined as existing employees.
Jobs Growth Wales learners who are employed with JGW support are not defined as existing employees for the purpose of this incentive only.
Payment Process
I28. Eligible employers who recruit young apprentices during the periods of July –
September (inclusive) or January – March (inclusive) may receive a payment of
£3,500. Those employers who recruit young apprentices outside of these months
may attract a payment of £2,500. [PAGS]
I29. Employers will be eligible to receive the incentive payment once the apprentice
has been employed for eight months. [PAGS]
Additional Guidance Payments can only be claimed once the learner has been continuously employed for 8 months. Any period(s) of suspension of learning during this 8 month period will not impact on the length of employment as long as the there is no break in employment.
I30. The payment will be made by Welsh Government directly to the training provider
who in turn will pass the full payment onto the employer. [PAGS]
I31. There will be no administration fee payable to the provider. [PAGS]
I32. The payment does not attract VAT. [PAGS]
I33. The Welsh Government has earmarked a separate budget to fund these
incentive payments. That is, providers are not expected to fund these payments
from their apprenticeship contract value. [PAGS]
Lifelong Learning Wales Record (LLWR) Data
I34. The incentive payment will be derived from data recorded by the Training
Provider in the LLWR Award dataset [PAGS]
I35. Table A shows the required entries for each of the fields within the Award
Dataset: [PAGS]
Table A: Award (AW) dataset
Field name Code Description Required Entry
ULI AW01 Unique learner identifier
LearnerID AW02 Learner identifier with provider
ProviderID AW03 Provider identifier
ProgrammeID AW04 Learning programme identifier
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ActivityID AW05 Learning activity link ‘01’
AwardID AW06 Award entry identifier
AWLearnAimRef AW08 Award learning aim reference
LDKKEMP1
AwardTitle AW09 Title of award ‘Employer Incentive – Employer Name’
ResultDate AW11 Date of result To be recorded 8 months after the programme start date.
Result AW12 Result PASS
Attainment AW23 Attainment indicator 2
AWCreditValue AW13 Award credit value 000.0
AWCreditLevel AW14 Award credit level 0
AwardType AW15 Type of award 01
AwardFund AW17 Award funding rules 1
555
ActivityLink AW22 Award activity link type
0
I36. Providers are required to submit an entry of ‘LDKKEMP1’ in AW08 only when an
eligible learner has been in-learning with their eligible employer for 8 months.
[PAGS]
I37. In addition to the entries within the Award dataset, providers are required to
identify all learners who are eligible to attract an employer incentive in LLWR field
LP51. LP51 should be recorded with an entry of ‘EMP’ for learners that do not
attract any enhanced funding rate and ‘EME’ for learners that are eligible to
attract both the enhanced funding rate and the employer incentive. [PAGS]
I38. LP51 should be submitted to the LLWR within eight weeks of the learner starting
their apprenticeship programme. It is essential for providers to comply with this
requirement in order for the Welsh Government to forecast and manage the
budgetary impact of the incentive. Failure to comply with this request may result
in funding being withheld. [PAGS]
Auditable Evidence
I39. Providers will be required to obtain and retain evidence, authenticated by the
employer, to prove the learner’s employment date. [PAGS]
I40. Providers will be required to obtain and retain evidence, authenticated by the
employer to prove that the eligibility requirements (detailed in I.23 above) are
met. [PAGS]
I41. Providers will be required to obtain and retain evidence to prove that the
employer has continuously employed the learner as an apprentice for a minimum
of eight months. This evidence must be authenticated by the employer. [PAGS]
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I42. All necessary evidence must be obtained before the ‘LDKKEMP1’ award record is
submitted to the LLWR. [PAGS]
I43. Providers will be required to retain a record of payments made to employers.
[PAGS]
I44. All evidence to support the incentive payment will be subject to PAGS audit.
[PAGS]
I45. The Welsh Government reserves the right to recover any payments which are not
underpinned by the necessary evidence. Payments will be recovered directly
from the Provider. [PAGS]
Additional Guidance
It is anticipated that the evidence requirements detailed in I39 – I41 will be obtained during a learner review meeting.
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TRAINEESHIPS PROGRAMME
Section J: Programme Information and Eligibility
J1. Traineeships Programme is a non-employed status training programme for 16-18 year olds not otherwise engaged in post-16 education or employment. The programme is aligned with 14-19 Learning Pathways, forming part of a broader range of options available for school leavers.
J2. The primary objective of Traineeships is to equip young people with the skills, qualifications and experience to enable them to progress to learning at a higher level or to employment at the earliest opportunity.
J3. Traineeships Programme is not time-bound. It is a flexible programme which requires the development of Individual Learning Plans (ILPs) to meet the needs of each young person. Some individuals may need relatively short periods of time to prepare for entry to employment or further learning opportunities. Others with more complex personal and social needs will require much longer periods before they are ready to enter and sustain suitable training and employment.
J4. The programme includes the use of employer work placements, community projects, voluntary work and centre-based learning opportunities and has three strands: Engagement, Level 1 and Bridge-to-Employment.
Traineeships Engagement Strand
J5. The Traineeships Engagement strand is for eligible Learners (see eligibility and ineligibility clauses below) who:
i. are assessed as needing to address a barrier (or barriers) to further learning or employment; and/or
i. need to confirm or contextualise an occupational focus prior to entering further learning or employment.
J6. Careers Choices Dewis Gyrfa advisors will conduct an enhanced referral to assess the individual’s learning needs prior to the Learner commencing the programme. The referral will specify the barrier(s) to further learning or employment to be addressed as part of the ILP.
J7. The Traineeships Engagement strand encompasses
ii. the identification and addressing of a learning barrier (or barriers) that prevents the Learner immediately participating in vocational or other learning at Levels 1, 2 or 3 or progressing into employment; through
iii. the use of employer work placements, community projects, voluntary work and centre based learning opportunities which aim to confirm or contextualise an occupational focus; affording
iv. an opportunity to provide Learners with the breadth and flexibility of skills they need to enable them to progress, at the earliest opportunity, to either employment or further learning at a higher level; and
v. delivery of qualifications as permitted under clauses K1 - K2.
J8. In addition, and subject to written agreement by the Welsh Government, where a young person has already identified a preferred progression route into further learning at a higher level (usually into FE provision) Careers Choices Dewis
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Gyrfa may identify that the Traineeships Engagement strand is necessary to confirm the appropriateness of his/her choice. In such cases the learner must receive additional support to confirm (or otherwise) his/her readiness for his/her preferred choice. Learners availing themselves of this option must have specific barriers or barriers to progressing (and sustaining that progression) into further learning at a higher level. This provision will therefore be available to young people identified through the Pre-16 Early Identification System by Careers Choices Dewis Gyrfa . Evidence of the barrier or barriers may be generic or specific to the preferred progression route.
Additional Guidance
Examples of barriers may include:
personal and social difficulties;
health and emotional well-being issues;
issues with preparing for employment and lifelong learning; and,
a lack of economic competence.
Contextualisation of an occupational focus is depicted in the following example. An employer is interested in recruiting a particular young person who satisfies that organisation’s qualification entry requirements for the post. However, the Learner has gained their qualifications in a non-work-related setting and would benefit from confirming their occupational focus and suitability by completing a period of time in the specific work setting. Up to 10 weeks (depending on the complexity of the job) is regarded as an appropriate time period for this activity with a realistic chance of the Learner receiving an offer of employment at the end of the placement.
Confirmation of an occupational focus is depicted as when a young person would benefit from the opportunity to spend (as a general guide) three weeks per taster placement in their stated occupational area of interest in order to experience a wide range of situations within that occupational setting and confirm their interest before committing to that vocational pathway. Other examples include:
where a young person would benefit from physical fitness and other training required by military and emergency services; or
where a young person does not currently have particular occupational interests and would benefit from the opportunity to sample different occupational settings.
The Individual Assessment of Needs would generally specify no more than three occupational tasters. Further ‘taster’ placements in different sectors may be arranged by the Provider should the Learner be unable to confirm an occupational focus.
Providers will be expected to forge links with the local community and voluntary organisations with a view to enhancing the Learner experience.
Confirmation of an identified progression route could be where a young person has, for example, chosen an occupational learning route at a Further Education Institution (FEI). The young person probably has high level GCSE qualifications to enable the entry criteria for this route, but requires additional support to confirm his/her choice. The Traineeships Engagement strand may be utilised to confirm
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the appropriateness of that choice, however, this must be approved, in writing, by Welsh Government as per clause J21.
Traineeships Level 1 Strand
J9. The Traineeships Level 1 strand is for eligible Learners (see eligibility and ineligibility clauses below) who are:
i. assessed as being occupationally focussed; and ii. able to follow a programme of study leading to a Level 1 qualification but
assessed as being unable to currently follow a Level 2 (or above) programme.
J10. The Traineeships Level 1 strand encompasses:
i. the identification and addressing of a learning barrier (or barriers); through ii. the use of employer work placements, community projects, voluntary work
and centre based learning opportunities to deliver a Qualification and Credit Framework (QCF) qualification (see clause K3), relevant to the career aim of the Learner, prior to progressing, at the earliest opportunity appropriate to the Learner, to either employment or further learning at a higher level.
Additional Guidance
For self-referral to the Traineeships Level 1 strand, an application form will be issued for completion by the Learner following a vocational guidance interview with a Career Choices Dewis Gyrfa advisor. All Learners commencing the Traineeships Level 1 strand must be assessed as possessing sufficient occupational focus to be able to follow and sustain a programme of study at Level 1, or equivalent, in the relevant occupation.
However, it would not be a requirement for all Learners to undertake a programme of vocational study at Level 1. For example, a Learner may already possess a vocational qualification at QCF Level 1 but may need to enhance their portfolio of qualifications by the acquisition of other qualifications at Level 1, e.g. the wider key skills or essential skills, or employability skills, before being ready to enter employment or undertake a formal programme of learning at Level 2.
Learners may acquire creditable skills at Levels 1 or 2, e.g., essential skills, during this process of delivering the vocational qualification at QCF Level 1. It is also permissible under this strand to deliver Essential Skills Wales qualifications at Entry Level 3 (in communication, application of number and/or digital literacy).
Contractors will be expected to forge links with the local community and voluntary organisations with a view to enhancing the Learner experience.
Traineeships Bridge-to-Employment Strand
J11. The Traineeships Bridge-to-Employment strand is for eligible Learners (see eligibility and ineligibility clauses below) who:
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i. are assessed as being occupationally focussed; have completed the Traineeships Engagement strand; and are assessed as being above Level 1 learning; or
ii. are assessed as being occupationally focussed; have completed the Traineeships Level 1 strand; and have attained, as a minimum, all of the following:
A Qualification and Credit Framework (QCF) qualification (or units) of at least ‘Certificate’ size (a minimum of 13 credits) which tests occupational competencies at Level 1; and
Essential Skills Wales qualifications at Level 1 in Communication, Application of Number and Digital Literacy; and
Wider Essential Skills Level 1 qualifications in Working with Others, Improving Own Learning & Performance and Problem Solving.
J12. The Traineeships Bridge-to-Employment strand includes the delivery of elements of a QCF qualification which tests occupational competencies at Level 2 as defined by the Learner’s chosen occupational focus and prior learning, and/or the delivery of Technical Certificates (where available and where relevant to the individual’s chosen career path), which are part of the appropriate Apprenticeship framework (see clause K5).
J13. Contractors must ensure the Traineeships Bridge-to-Employment strand does not exceed 15 percent of its total Programme Commission value for Traineeships. This proportion may be varied in writing by the Welsh Ministers in subsequent years. The Welsh Government will monitor the value used for this strand of the programme via the contract management process. Contractors who believe they may exceed the 15 percent value must notify the Welsh Government via the [email protected] mailbox and obtain prior approval.
J14. The Traineeships Bridge-to-Employment strand is linked to the payment of Training Allowance (TA) where eligibility must be confirmed at each interval (see clauses L21-L27 below).
Additional Guidance
As an example, a Traineeships Bridge-to-Employment strand Learner training in retail might undertake one of the following:
units of a Level 2 vocational qualification in Retail Skills; or
Essential Skills Wales qualifications at Level 2 or above; or
City & Guilds Level 2 Certificate in Retailing; or
units of a technical certificate in the Learners chosen vocation.
The Traineeships Bridge-to-Employment strand can be used to ensure that the young person is well-suited to the working environment of the recruiting organisation with a view that employment is offered at the earliest opportunity.
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Evidence Requirements
J15. The Contractor must ensure that it complies with the suitability and eligibility evidence requirements set out in Section AA: Eligibility for Welsh Government Funding and ESF Support [PAGS]
Eligibility for Traineeships
J16. Unless otherwise stated or in clause J28, individuals are eligible for the Traineeships programme if they meet all of the following criteria:
i. have not reached the age of 19 and are not in full-time education; ii. are not employed; iii. are ordinarily resident in Wales; iv. meet the criteria set out in the Programme Specification, [PAGS]
J17. Individuals aged 15 at the point of entry will be considered eligible if their enrolment date is after they have completed education in the June before their 16th birthday in June, July or August of the same year and they are considered NEET at the point of referral onto the Programme. [PAGS]
J18. Full time education covers young people who:
are attending school sixth form or college, full-time, as a pupil or student; or
intend to attend school sixth form or college, full-time, as a pupil or student.
J19. Part-time work of no greater than 15 hours per week is classified as ‘non-employed’. Such part-time employment must not conflict with required attendance on the Traineeships programme nor be treated as authorised/unauthorised absence from the programme [PAGS]
J20. Referral agencies and Providers must ensure that a Learner, who has reached 18 years of age, is fully aware of any entitlements to benefits as an adult. This will help them make an informed decision whether to enter or re-enter training via Traineeships or whether to pursue an adult training programme. [PAGS]
J21. Subject to written agreement by the Welsh Government, where a young person has already identified a preferred progression route into further learning at a higher level (usually into FE provision) Careers Choices Dewis Gyrfa may identify that the Traineeships Engagement strand is necessary to confirm the appropriateness of his/her choice. This provision will be available to young people identified by Careers Choices Dewis Cymru via the Pre-16 Early Identification System, who have specific barriers (generic or specific) to progressing, and sustaining that progression into further learning at a higher level. [PAGS]
J22. Where a Learner progresses from any activity undertaken in respect of the WBL Programme Commission without a break of more than three calendar weeks, the original eligibility status remains extant. [PAGS]
J23. All entrants to the Traineeships Engagement strand must be referred by Career Choices Dewis Gyrfa (or another legitimate organisation/agency as notified by the Welsh Ministers) and require a written referral on or before the Learner’s start date.
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J24. Learners can self-refer to the Traineeships Level 1 strand. However, where an individual applies directly to the Contractor for this provision Career Choices Dewis Gyrfa must be notified immediately and before the learner starts on the programme. Careers Choices Dewis Gyrfa reserves the right to advise the individual that Level 1 provision is not a suitable option for them thus deeming the individual ineligible for Welsh Government funding. Contractors, via their initial assessment, must ensure the learning is at the appropriate level for the Learner. Contractors must refer the Learner to Career Choices Dewis Gyrfa if initial assessment confirms that the Traineeships Engagement strand or higher level learning is more appropriate. [PAGS]
J25. Contractors must ensure that young people referred by Careers Choices Dewis Gyrfa are fully supported with personalised and adaptable provision by utilising the flexibilities of the programme, engaging with partner organisations and accessing the Learning Support (ALS) budget. Contractors must not refuse entry to any young person who has been referred by Careers Choices Dewis Gyrfa.
J26. Contractors must ensure that only eligible Learners are enrolled on a Traineeships programme. The eligibility of the Learner must be established before the start of their programme and evidence obtained prior to, or shortly afterwards. Contractors must retain evidence of the Learner’s eligibility and will be asked to produce it to the Welsh Government. [PAGS]
J27. Contractors must also satisfy themselves before seeking Welsh Government funding that there is a reasonable likelihood that the Learner will be able to complete the programme of learning. This should include the practicality of providing a place to a Learner who may be unable to complete the programme if he or she is likely to leave his/her domicile permanently during the expected duration of the programme. [PAGS]
Ineligibility for Traineeships
J28. Individuals are ineligible for entry to Traineeships if they are, at the point of referral to the programme:
i. of compulsory school age (see clause J18); or ii. 19 years of age and over; or iii. have not received the appropriate referral from Career Choices Dewis
Gyrfa (or another legitimate organisation/agency); or iv. an ineligible overseas national; or v. in custody or on remand in custody; or vi. in receipt of an Assembly Learning Grant or an Education Maintenance
Allowance; or vii. taking part in any other employment or enterprise programme funded
directly by the UK Government or the Welsh Ministers; or viii. taking part in any other UK Government or Welsh Ministers funded
vocational learning programmes; or ix. taking part in any other EU funded employment or enterprise programme
or vocational learning programme (or any other form of EU funded scheme) unless permitted under ESF funding regulations; or
x. being mandated to attend the DWP Work Programme; or being registered for work with Jobcentre Plus/ DWP at the time of referral, or entry, to the programme.
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For referrals from 1 July to 30 September (inclusive) individuals will be ineligible for the Level 1 strand of the Traineeship programme if they have, at the point of referral to the programme:
xi. attained (or have already sat and are expected to attain) at least 5 GCSEs at grades A*-C (including Maths and English Language); or
xii. attained (or have already sat and are expected to attain) a Level 2 Vocational qualification and are seeking to undertake a Traineeship Level 1 in in the same occupational area.
This will be subject to monitoring and review by Welsh Government. [PAGS]
Additional Guidance
Learners who meet the criteria stipulated in (xi) or (xii) above who are referred outside of the 1 July – 31 September period may be eligible for a level 1 Traineeship programme (subject to all other eligibility criteria being met). These learners must be recorded with an entry of ‘NQ’ in LP75).
J29. The Welsh Ministers will not pay any sum in respect of ineligible Learners and will seek repayment of any sums paid in error.
Planned Learning and Individual Learning Plans (ILP)
J30. Contractors must ensure that all Learners undertake an initial assessment. All learning should be planned to meet the Learners individual needs and all Leaners must be issued with an ILP. If the Contractor’s own assessment of the Learner varies from the Career Choices Dewis Gyrfa Engagement Referral, the Contractor must engage with Career Choices Dewis Gyrfa to agree any changes required. A final ILP must be produced against an amended referral. [PAGS]
J31. An ILP must, as a minimum:
i. clearly identify the learner by name and unique identifier; ii. include the Learner’s prior learning and assessed needs; iii. specify the expected duration of learning, which allows the Learner a
reasonable prospect of successfully completing his/her learning; iv. have regard to the objectives stated in approved qualifications (or units
thereof); v. set out the start date and the frequency of reviews to be followed e.g.
Learners shall have their progress reviewed at intervals of no greater than 31 calendar days;
vi. set out the planned attendance; vii. set out any agreed support arrangements; viii. specify by name, level and reference number approved qualifications
which the Learner aims to achieve; ix. contain a brief statement of the Learner’s employment or career
objectives;
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x. be agreed by the Learner, the Contractor and, where appropriate, the ‘lead worker’ and employer;
xi. contain a declaration authenticated by the Learner that he or she has agreed the ILP and that he or she has commenced the activities contained within it. This declaration should also confirm that the Learner has been made aware of the support of the European Social Fund; and
xii. take full account of the Career Choices Dewis Gyrfa Traineeships referral; and
xiii. specify the Learner’s preferred language of learning (Welsh or English) and preference for Welsh-medium or bilingual delivery of learning during the programme; and
xiv. specify opportunities to maintain and/or develop the Learner’s Welsh language skills during the learning period, where appropriate. [PAGS]
J32. The Contractor must ensure that the activities agreed in the ILP are carried out. [PAGS]
J33. Any subsequent changes to the ILP, including extending a Learner’s period of learning, must be agreed between the Learner and the Contractor and, where appropriate, the ‘lead worker’ and employer. Changes must be recorded on the ILP. There is no requirement for Career Choices Dewis Gyrfa to agree to an extension. [PAGS]
Additional Guidance
A suggested length of programme duration will continue to be included on the referral form as a result of Career Choices Dewis Gyrfa' advisors discussions with the young person. At the end of this period (if the young person has not progressed already) it will be for the Contractor to assess whether the Learner should continue on the Traineeships Engagement strand or progress elsewhere.
J34. Learners shall have unrestricted access to information on their learning arrangements/ ILP. [PAGS]
J35. Where qualifications form part of the ILP, registration with the relevant Awarding Organisations must take place within eight weeks of the start date of learning for at least one qualification set out in the ILP for each Learner. [PAGS]
J36. The Contractor shall report the registration for each qualification to the LLWR through an appropriate Award record by the end of the period in which the registration takes place. For each qualification registered and reported to the LLWR, the Contractor must record the result of the qualification within the LLWR in the relevant Award field, by the end of the period in which the evidence of achievement, or notification of withdrawal or failure, becomes available. [PAGS]
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Section K: Additional Programme Requirements (Traineeships)
K1. Any qualifications undertaken as part of any strand of the Traineeships programme must be approved for the purpose of, and in accordance with, Sections 96 and 99 of the Learning and Skills Act 2000 (as amended) or otherwise be approved for delivery by the Welsh Government. For the avoidance of doubt, qualifications approved for delivery by the Welsh Government do not include licenses and funding must not be used by Contractors for this purpose.
K2. Learners on the Traineeships Engagement strand can undertake qualifications at Entry Level in the Qualifications and Credit Framework (QCF) and National Qualifications Framework (NQF) and wider key skills within Essential Skill Wales qualifications up to and including Level 2. Qualifications at Level 1 or above in the QCF and NCF must not be delivered under this strand.
K3. Learners on the Traineeship Level 1 strand should only undertake qualifications at Level 1 in the QCF and NQF, and/or Essential Skills Wales qualifications at Level 1 or Level 2. An exception to this condition is that Essential Skills Wales qualification at Entry Level 3 in Communication and/or Application of Number is/are deliverable under this strand.
K4. Other qualifications at Level 2 or above must not be delivered under this strand. Under the Traineeships programme, training Contractors that are approved can offer the Welsh Baccalaureate within the Traineeships Level 1 strand but this can only be delivered at Level 1 equivalent.
K5. Learners on the Traineeships Bridge-to-Employment strand should only undertake the delivery of elements of a QCF qualification which tests occupational competencies at Level 2 as defined by the Learner’s chosen occupational focus and prior learning and/or the delivery of Technical Certificates (where available and where relevant to the individual’s chosen career path), which are part of the appropriate Apprenticeship framework. Essential Skills Wales qualifications at Level 2 or above may also be delivered under this strand.
Additional Guidance
As an example, a Traineeships Bridge-to-Employment strand Learner training in retail might undertake one of the following:
units of a Level 2 vocational qualification in Retail Skills; or
Essential Skills Wales qualifications at Level 2 or above; or
units of a technical certificate in the Learners chosen vocation.
Offer of a Suitable Learning Place
K6. The Contractor must ensure it supports the Welsh Government’s commitment to make a suitable offer under the Youth Guarantee. The Youth Guarantee is the offer, acceptance and commencement of a suitable place in education or training for a young person making the first time transition from compulsory education at age 16 as set out in the Youth Engagement and Progression Framework. The Welsh Government has published the Youth Guarantee guidance (link below) to support the introduction of the Youth Guarantee. http://gov.wales/topics/educationandskills/skillsandtraining/youthengagement/delivering-the-youth-guarantee-in-wales/?lang=en
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K7. A place in education or training includes:
a part or full-time place in a school or college; or
an Apprenticeship opportunity; or
a Welsh Government Traineeships place; or
a place on a re-engagement programme; or
a volunteering opportunity; or
a Level 2 training programme during employment.
K8. The Contractor must work with the relevant Local Authority and Career Choices Dewis Gyrfa to ensure that an appropriate mix and balance of provision is in place to enable this to happen. Contractors have a key responsibility to identify young people at risk of dropping out and providing support to help keep them engaged. They must also notify Career Choices Dewis Gyrfa if young people drop out of education and training and where they are at risk of dropping out (see clauses K11 and K12).
K9. The Welsh Government may, during the lifetime of the Agreement, revise its offer of education and training for young people. Contractors will be given a minimum of 60 days notice in writing before such a change is implemented.
K10. An offer of a suitable learning place should be made by a Contractor within eight weeks of a Learner being referred. (Please refer to the Glossary of terms for further clarification). Where a Disclosure and Barring Service (DBS) check is required to support the learning placement, it is the responsibility of the Contractor to cover the cost.
K11. The appropriate Starters and Leavers Form must be used to notify Career Choices Dewis Gyrfa of all eligible Learners entering or leaving learning within 10 working days of the start or leave date.
K12. Career Choices Dewis Gyrfa must be notified where a Learner has been identified as at risk of disengaging from learning using the Referral to Career Choices Dewis Gyrfa Form.
Re-entering Learning
K13. Once a Learner has left learning, or completed any Traineeships strand, re-entry is only appropriate if the Learner continues to meet the eligibility criteria (i.e. the Learner has not become ineligible).
Assessment and Review
K14. The Contractor must track and measure the Learner’s progress and distance travelled in relation to ‘soft skills’ such as confidence, self-esteem, motivation, ability to co-operate, self-discipline and wellbeing. [PAGS]
K15. The Contractor must review each Learner’s progress as frequently as necessary. As a minimum, progress reviews should be undertaken at intervals of no greater than 31 days. This measurement should be applied from the start date and thereafter from the date of the last review undertaken. [PAGS]
K16. The Contractor shall ensure that the progress review shall:
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be conducted in an appropriate environment, away from the pressures of the workplace;
allow sufficient time for proper discussion; and
involve the Learner, the Contractor and (where applicable) the work placement provider. [PAGS]
K17. A review shall include:
actions agreed at the previous meeting;
progress towards achieving the ILP, this should also include explanations for poor progress if applicable;
details of assessments undertaken;
progress towards qualifications (if appropriate);
identification of any obstacles to completing the programme and the support offered to address;
agreed plan of learning for the period to the next review; and
any agreed amendments to the ILP. [PAGS]
K18. The record of the review shall include confirmation that the progress review took place by means of authentication by the Learner, the Contractor and, where applicable, the work placement provider. [PAGS]
K19. Records of the review should be in a format that helps the review meeting to be effective. A record should:
include space to record progress, actions and explanations for poor progress (if applicable);
show clear progression from one review record to the next in terms of actions agreed and follow up; and
include comments from the Learner, work placement provider (where applicable) and the learning provider.
K20. Reviews should only take place when a Learner is in attendance, in person or virtually, at either the Learner’s designated place of learning or the placement Provider’s premises.
K21. The date, place and time of the next review should be agreed as part of the review process. [PAGS]
K22. All Learners must undertake an initial and diagnostic assessment of their essential skills (communication, application of number and digital literacy), using the Wales Essential Skills Toolkit (WEST) as part of the Learner’s initial assessment, within 4 weeks of the start date, unless evidence is available following progression from the Traineeships Engagement strand. Contractors must make provision for the on-going monitoring of a Learner’s essential skills using the WEST. [PAGS]
Additional Guidance
Essential skills is key to a young person’s assessment and where identified as necessary, Essential Skills Wales qualifications should be embedded into their
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Individual Learning Plan. Where possible, essential skills activity should be a seamless part of the learning process as evidence shows that when delivered as a classroom activity, young people disengage quickly as this feels like school.
Where the Learner requests the presence of their learning coach at a review, it is considered good practice that the learning coach’s signature is also captured as part of the review process.
Performance Targets and Progression
K23. The Welsh Government expects Contractors to achieve a minimum positive progression rate of 50 percent for each strand of the Traineeships programme. The Welsh Government reserves the right to adjust the percentage over the lifespan of the tendered period. Further information on performance targets for positive progression success can be found in section 11 - Work-based Learning Outcomes Performance Thresholds.
K24. Performance will be measured as progression into employment (including self-employment and voluntary work) or further learning at a higher level, including progression onto the Jobs Growth Wales programme. Further information on the definition of a positive progression is included in the Destination Guidance at part 6 of this document. Contractors must comply with the recording and supporting evidence requirements.
K25. The Traineeships programme has been designed to form part of a broad range of options available for school leavers. Contractors must consider a full range of opportunities to progress Learners at each exit point of the programme. Progression from the Traineeships Engagement strand to the Traineeships Level 1 strand should not be assumed where a different option might be more beneficial to the Learner.
K26. A transfer from the Traineeships Engagement strand or a Traineeships Level 1 strand to a Traineeships Bridge-to-Employment strand will not constitute a progression into further learning at a higher level.
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Section L: Learner Terms and Conditions (Traineeships)
Learner Entitlement and Support
L1. The Learner must be notified in writing of his/her terms and conditions of learning with the Contractor upon starting a programme and of any subsequent changes to them. This must include hours of attendance, value of their Training Allowance (TA), and when and how this will be paid to the Learner
L2. The terms and conditions for a Learner already in learning shall not be adversely affected by changes subsequently agreed between the Welsh Ministers and the Contractor.
L3. An eligible Traineeships Learner, who is not employed, shall be entitled to accrue two days annual leave from his/her programme of learning per completed 28 calendar days of learning without adversely affecting his/her learning allowance (see clauses L21 – L27). In addition, the Learner shall also be entitled to time off for (or in lieu of) statutory holidays. This entitlement is cumulative where a Learner who is not employed, progresses from one Traineeships strand to another with the same Contractor. Leave entitlement shall be pro-rated against attendance patterns.
Additional Guidance
A completed calendar month of learning runs from the Learner’s start date, e.g., from 25th of the month to 24th of the next month. If a Learner starts on, e.g., 30th of January, the calendar month should run to the 28th or 29th (if a leap year) of February.
L4. The Contractor shall endeavour to provide suitable alternative learning for a Traineeships Learner who has reasonable grounds for dissatisfaction with his/her programme of learning, or who is not making satisfactory progress, or where provision of learning, as agreed in the ILP, is no longer available.
L5. Contractors must ensure that Learners are provided with support, or personal assistance, to enable them to access or remain in learning and realise their potential. Traineeships Learners are, as participants in the 14–19 Learning Pathway entitled to three strands of learning support. These are:
i. Learning Coach Support: Access to a named learning coach either within the Contractor’s organisation or through a third party, who will provide the Learner with advice on how to maximise their own ability and learning skills. For the definition of a Learning Coach, please see Glossary of Terms.
ii. Access to Personal Support: Where a young person is at significant risk of disengagement (see clause K12), or has already disengaged, a lead worker will be allocated to support the individual. The lead worker may come from one of the specialist support services or be a Learning Coach, Youth Worker or Career Choices Dewis Gyrfa adviser. Access to Personal Support through Learner Support Services includes, for example:
specialist health and wellbeing advice, including information on sexual health and substance misuse;
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access to specialist mental health support; and
specialist counselling services
iii. Careers Information, Advice and Guidance: The learner is entitled to impartial careers information, advice and guidance. Where careers education is provided, Careers and the World of Work framework is the key document which the Contractor should use to review and develop their provision. Specialist individual careers information, advice and guidance is typically provided by professional advisers from Career Choices Dewis Gyrfa.
Attendance
L6. Hours of attendance are linked to the payment of Training Allowance (TA) (see clauses L21 – L27 below). Any change to the TA may impact on attendance requirements. Should any change be made to required hours of attendance or allowance entitlement for any strand of the programme, Contractors will be given at least 60 days notice in writing of such a change.
L7. Traineeships Engagement strand Learners must attend learning for 12 hours or over in any 7-day period. The maximum hours of attendance shall be 30 hours (including hours attending day release courses and excluding one meal break per day) in any 7-day period.
L8. Within eight weeks of entering the programme, Traineeships Engagement strand Learners in attendance for fewer than 21 hours must be allocated home study projects equivalent in time to the difference between their agreed attendance requirements as specified on the ILP and 21 hours. For Learners engaged for fewer than 21 hours after the first 8 weeks (after accounting for authorised absence), payment of the Training Allowance (TA) will be reduced proportionately (see clauses L21 – L27).
Additional Guidance
For example, an ILP is drawn up with a young person indicating that the Learner shall undertake Engagement training for 12 hours per week for the first four weeks. The Learner will receive the full non means-tested TA of £30 per week. If the Learner misses hours of the agreed attended learning, their non means-tested TA will be reduced proportionately.
Beyond eight weeks, every Learner’s ILP should be amended to include learning of at least 21 hours duration per week which may include home study projects. If, after eight weeks in learning, the Learner is able to commit to, for example, 14 hours of attendance learning, their non means-tested TA will be reduced proportionately by one third to £20 per week.
Although 21 hours is the minimum number of hours that an engagement learner should undertake over a 7 day period (after the first 8 weeks have elapsed), learners may undertake additional hours (up to a maximum of 30 hours over a 7 day period). Where this occurs, the TA will remain capped at £30 per week.
The TA must only be proportionately reduced where a learner attends for less than 21 hours per week after the first eight weeks have elapsed.
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L9. Traineeships Level 1 and Bridge-to-Employment strand Learners shall normally attend learning for 30 hours or over in any 7-day period. The maximum hours of attendance shall be 40 hours (including one meal break per day) in any 7-day period.
L10. For the purposes of paying a Training Allowance for Traineeships Level 1 and Bridge-to-Employment strands Learners who are not employed and attending for less than 30 hours a week (after accounting for authorised absence), payment of training allowances must be reduced proportionately (see clause L23).
Additional Guidance
For example, a Traineeships Level 1 strand Learner in any one week attends for 20 hours as opposed to 30 hours. Their Training Allowance is reduced to £33.33 for that week.
L11. The Contractor is required to have in place appropriate procedures to monitor Learners’ attendance during their period of learning.
Authorised Absence
L12. Contractors may approve pre-authorised absence of up to 15 consecutive working days. Learners who have completed 15 consecutive working days of pre-authorised absence must be immediately withdrawn from learning if they fail to return to learning on the 16th working day. The last date for which allowances are payable is the 15th working day. Suspension is not an option available for Traineeships Learners. [PAGS]
Additional Guidance
Examples of authorised absence include:
sickness, supported by a Statement of Fitness for Work (fit note) after 7 days;
holiday entitlement;
time off in lieu (e.g. on account of working on a bank holiday);
compassionate leave;
pre-authorised medical appointments;
pre-arranged appointments linked to specialist personal support e.g. counselling appointment;
time off to deal with housing issues;
time off to attend an appointment with Career Choices Dewis Gyrfa; or
time off to attend a job interview.
Unauthorised Absence / Notification Arrangements
L13. Eligible Learners who have been absent from a programme of learning for 10 consecutive working days without prior authorisation shall be immediately withdrawn from learning and payment of allowances. Payment of allowances must cease immediately from the last working day for which there is evidence that the Learner attended the programme. [PAGS]
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Additional Guidance
For example, if a Learner does not make contact with the Learning Contractor or learning placement representative for 10 consecutive working days, on the 11th working day the Learner should be withdrawn.
L14. Career Choices Dewis Gyrfa must be notified where a Learner has been identified as being at risk of disengaging from learning. This includes where a Learner’s unauthorised absence level has exceeded the agreed level. [PAGS]
L15. The appropriate Starters and Leavers Form must be used to notify Career Choices Dewis Gyrfa of all eligible Learners leaving learning within 10 working days of the leave date. [PAGS]
Progression from one programme to another
L16. A learner progressing directly from the Traineeships Engagement strand to the Traineeships Level 1 or Bridge-to-Employment strand is counted as a continuing learner and the provider is not required to complete a new enrolment form. [PAGS]
However, the provider must:
Check that the information it holds on the Learner is accurate and complete a Change of Circumstance form if any details have changed;
Undertake eligibility checks, if more than three weeks have elapsed between the end of the first strand and the start of the next;
Update the learner’s ILP to include details of the new strand (e.g. start date, expected duration and framework details); and
Set up new LP, LA and AW records on the LLWR for the new programme of learning. This information does not have to be physically signed-off by the Learner as long as the ILP has been updated, as outlined above.
Transfer to a new Contractor
L17. When Learners transfer from one Contractor (the outgoing Contractor) to another Contractor (the new Contractor), it is the responsibility of the new Contractor to ensure the following documents supporting the Learner’s eligibility, prior to and at the start of learning, are received from the outgoing Contractor:
i. a copy of the Learner’s ILP; ii. evidence of basic and/or essential skills assessments; iii. copies of all assessments and reviews to date.
L18. The outgoing Contractor must keep the originals of all forms and data for their own records and enter the transfer details into the LLWR. It is the responsibility of the outgoing Contractor to supply copies of the relevant forms and data to the new Contractor as well as retaining auditable evidence from the new Contractor that the transfer has taken place e.g. an email or letter.
Recording Terminations from Learning on LLWR
L19. When a Contractor identifies that a Learner has completed or ceased learning, action must be taken immediately to record this through the LLWR. The
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Contractor must ensure that for each Learner who completes, or ceases learning, the necessary evidence and documentation requirements are met. [PAGS]
Learning Support
L20. The Welsh Government places a responsibility on Contractors to ensure that Learners are provided with financial support, and/or payment in kind, and/or personal assistance, to enable them to access, or remain in, learning and realise their potential. The Welsh Government may, in the lifetime of this contract, revise the allowances available and the processes for paying these allowances. Contractors will be given a minimum of 60 days notice in writing before such a change is implemented
Financial Support
Training Allowance (TA)
L21. Eligible Learners following the Traineeships Engagement strand must be paid a Training Allowance (TA) of £30 per week; reduced proportionately according to patterns of attendance (but see also clauses L7 and L8). [PAGS]
L22. Where a Learner does not have a bank account when they commence a learning programme it would be reasonable to expect that the Contractor gives the Learner a cash payment until allowances can be paid directly into their bank account. Contractors may wish to allow a couple of weeks for a bank account to be opened and available.
L23. Eligible Learners following the Traineeships Level 1 or Bridge-to-Employment strands must be paid an allowance of a minimum of £50 per week; reduced proportionately according to patterns of attendance (see also clause L10). [PAGS]
L24. For eligible Learners following the Traineeships Bridge-to-Employment strand:
i. Contractors may claim a training allowance for up to 10 weeks from the Welsh Ministers to enable a supporting employer to be identified (a supporting employer is one who is actively seeking to recruit an individual into employment);
ii. If a supporting employer is not found within the 10 week period, eligibility of the Learner must be reassessed for the Learner to continue in learning. If eligible, the Contractor must continue to deliver the content of the ILP as agreed, with the cost of the allowance being met by the Contractor. If ineligible, the Learner’s place on the programme of learning must be terminated.
iii. The Learner can only remain on programme for an additional 10 weeks (with the cost being met by the Contractor, or an employer) after the initial 10 week period. [PAGS]
L25. Eligible and participating Traineeships Learners are entitled to be paid an allowance, appropriate to their programme and attendance, until the day prior to their 20th birthday. Allowances must be paid promptly. Any deductions from an
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allowance must be reasonable and proportionate and in accordance with the Learner’s terms and conditions. [PAGS]
L26. Monthly payments to Contractors to reflect the payment of allowance costs to Learners will be derived using a formulaic approach linked to the type and volume of Traineeships provision recorded via the LLWR, up to a maximum which will be governed by a Contractor’s Programme Commission support cost allocation. [PAGS]
L27. Contractors must retain a record of all payments to the Learner and a receipt authenticated by the Learner confirming payment. Where Learners are paid by BACS, an attendance record, authenticated by the Learner to confirm attendance, must be completed. This attendance record may then be used as the basis to create a BACS payment. There will be no requirement for a receipt if the attendance record and the BACS printouts are held on file. [PAGS]
Funding for Travel
L28. Eligible Learners following the Traineeships programme are required to pay travel costs up to the equivalent of 10 percent of their weekly training allowance for a full week’s attendance. A Traineeships Level 1 strand or Traineeships Bridge-to-Employment strand Learner receiving a maximum Training Allowance of £50 per week will be required to meet the first £5 of their weekly travel costs. A Traineeships Engagement strand learner receiving the maximum training allowance of £30 per week is required to meet the first £3 of their weekly travel costs. Learners may claim towards necessary reasonable travelling expenses incurred in connection with travel to and from their place(s) of learning above this amount. Learners using their own transport may claim for the costs of fuel where this does not exceed the cost of travel by public transport (where available). Learners using their own transport may also claim for the costs of car or motor cycle parking where there is no alternative free-of-charge parking facility. The Welsh Government will support the cost of travel by car, or motor cycle, up to a maximum of 25p per mile. Contractors must ensure that any payments made to learners do not exceed the maximum rate of 25p per mile. [PAGS]
L29. Monthly payments to Contractors to reflect travel costs paid to Learners will be derived using a formulaic approach linked to the type and volume of Traineeships provision recorded via the LLWR, up to a maximum which will be governed by a Contractor’s Programme Commission.
L30. The Welsh Ministers may, during the lifetime of the Agreement, revise the process for paying financial support to Learners for funding travel costs, and/or the amount available. Contractors will be given a minimum of 60 days notice in writing before such a change is implemented.
Funding for Childcare
L31. Childcare support is available for non-employed Learners who are lone parents. Eligible Learners receive a contribution towards the costs of registered or accredited childcare. Childcare funding is only available where a childcare Contractor is registered by the Care and Social Services Inspectorate Wales (CSSIW) or has been approved by an accredited organisation’s Quality Assurance Scheme. Contractors should refer to the 2015/19 WBL Support Cost
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Guidance for information relating to the maximum levels of available support. [PAGS]
L32. The Welsh Government will allocate funding to reflect childcare costs reimbursed to Learners using a formulaic approach. Contractors will receive a monthly allocation based on their performance recorded via the LLWR, up to a maximum of £161.50 per week for the first child or £274.55 per week for two or more children.
Additional Learning Support
L33. Additional Learning Support is available for Learners with Additional Learning Needs which:
i. arise from a learning difficulty and/or disability; ii. is over and above that provided for in a learning programme; and iii. is necessary to enable the individual Learner to achieve a positive
outcome. [PAGS]
L34. The definition of learning difficulty and/or disability does not include Learners:
who have support needs arising from a functional literacy or numeracy difficulty (i.e. essential skills) or ;
for whom English (or Welsh) is not the first Language, e.g. asylum seekers, refugees or migrants. [PAGS]
L35. The Welsh Government will allocate funding to reflect Additional Learning
Support costs using a formulaic approach based on information recorded via the LLWR, up to a maximum which will be governed by a Contractor’s Programme Commission. Welsh Government will not allocate Additional Learning Support to cover the travel costs of any Learner under this programme.
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EMPLOYABILITY SKILLS PROGRAMME
Section M: Programme Information and Eligibility
Programme Purpose
M1. The aim of the Employability Skills Programme is to support unemployed adults to get a job and to stay in work by improving their employability skills. The core content of the programme is a high quality work placement or employer specific training, work preparation training, and essential skills provision. Providers have the flexibility to bring these elements together in the best way to engage and support individuals.
M2. Offenders serving their sentences in the community are eligible for the essential skills element of the programme only.
M3. Employability Skills is a flexible programme which will enable adaptations to be made as further requirements of the Department for Work and Pensions (DWP) Work and Health programme and other relevant labour market developments emerge.
M4. The Employability Skills programme will be delivered via a flexible and tailored package of support for individuals and to achieve a higher level of employment outcomes.
Employability Skills Programme Overview
M5. All individuals in the Employability Skills programme (with the exception of offenders in the community) must have as part of their Employability Plan:
either a) A high quality work placement which offers meaningful work experience
and the opportunity to develop workplace skills.
or
b) employer specific training.
In addition, the plan may include:
essential skills training, if required;
work preparation training, if required, which might include CV writing, interview preparation and practice, job-search techniques and inter-personal skills;
accredited vocational skills training, if required, to meet minimum requirements of some industry sectors;
in-work coaching for new employees, if required. [PAGS]
M6. Providers have the flexibility to deliver elements of the programme in the best way to engage and support individuals into employment. Providers must work with individuals from the outset to assess their individual needs and tailor a programme that meets those needs. Some people may need to focus primarily on essential skills and work preparation at the beginning of their programme before moving into a work placement or employer specific training. Others may
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benefit from starting their work placement with a supportive employer early in the programme with work preparation, essential skills and any vocational training built in alongside.
M7. Programme delivery should be tailored to meet individual needs with consideration given to mode, timing and duration.
M8. Participants must complete a registration form (ESP1) and timesheets for all time spent on the Programme. This will be included in the PAGS Audit. [PAGS]
Eligibility and Referral
M9. Adults (with the exceptions of offenders in the community) will be eligible to enter and participate in the Employability Skills programme if they meet all of the requirements below. Eligibility must be confirmed by the Jobcentre Plus Work Coach.
Are aged 18 and over;
Are unemployed and registered with JCP (this includes those claiming benefits or and those claiming credits only), or are included in a spouse or partner’s claim for benefits.
Can complete the programme before being eligible for the DWP Work or new Work and Health Programme
Have not achieved a full level 2 qualification or equivalent. (Exceptions to this may be at the discretion of the JCP Work Coach where the programme will support a more qualified individual to gain work experience).
Have little ‘current’ or ‘relevant’ work experience (see below) but who are work focused.
Have a reasonable chance of being ready for employment within six months of engaging with the programme [PAGS]
M10. The Employability Skills programme is not intended for:
the most disengaged people, who require very intensive support;
those who already have the qualifications, skills and experience needed to find work themselves;
those already in employment;
those in full-time education;
ineligible overseas nationals;
those in custody or on remand in custody; or
those taking part in any other employment or enterprise programme funded directly by the UK Government, the Welsh Government or EU funding that duplicates the provision offered through the Employability Skills programme. This point does not apply, however, to individuals who have secured employment through the Employability Skills programme
M11. Neither of the above groups should be referred to the Employability Skills programme. For people who are further away from the market and need more intensive support before they can engage, additional help is available through wider training provision and the Work Programme (or forthcoming DWP Work and Health programme). Those who are very close to employment or are likely to be
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successful in finding opportunities themselves or with light touch support from Careers Wales and/or JCP.
M12. For the purpose of this programme, ‘current’ means within the last 3 months.
M13. For the purpose of this programme, ‘relevant’ will be at the discretion of the JCP Work Coach and may be confirmed by Careers Wales on the basis of the analysis of the skills currently being sought by local recruiting employers.
M14. For the purpose of this programme, ‘work-focused’ means someone who is motivated and confident to find work. They may lack a specific occupational focus. This will be at the discretion of the JCP Work Coach and may be confirmed by Careers Wales.
M15. Individuals seeking to participate in this programme must be confirmed as eligible by their JCP Work Coach. A JCP Work Coach will ring and email a selected provider to make an appointment. The JCP Work Coach will provide the individual with a signed referral letter that will also identify the benefit status (if any) of the individual. Where Careers Wales identifies individuals whose needs can be met by this programme, it may make a direct referral subject to receipt of a letter from JCP confirming eligibility. [PAGS]
M16. An individual is able to participate in the Employability Skills programme more than once, provided they continue to meet the eligibility criteria for the programme. [PAGS]
M17. Offenders in the community, including those who have been mandated to the DWP Work Programme, are eligible for the essential skills element of the programme only. They must be referred to the programme by the National Probation Service (NPS) / Wales Community Rehabilitation Company (CRC) and be confirmed as eligible by the NPS / CRC. A risk assessment will be completed prior to the individual being referred to the Programme. Essential skills training must be centre-based. Alternative venues will be considered on a case by case basis. Providers should submit their request to [email protected] [PAGS]
M18. The Lift Programme is a tackling worklessness intervention, designed to respond to the Welsh Government’s Tackling Poverty Action Plan 2013, providing training and employment opportunities to people in long-term. Lift Mentors and Communities for Work Teams can refer directly into the ESP Programme. The eligibility criteria outlined in paragraphs 3.1-3.3 will apply.
M19. The Employability Skills programme is a voluntary programme. Individuals cannot be mandated to participate in it.
M20. Welsh Government reserves the right to amend the target cohort and eligibility criteria for the Employability Skills programme, for example, to complement the emerging requirements of the DWP Work and Health Programme and other relevant labour market developments. As a result of these requirements there may be a need for providers to test new approaches in providing employability support to individuals. 60 days notice will be given to providers of any significant change.
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M21. With the exception of offenders in the community, the JCP Work Coach will use his/her experience and knowledge of the claimant to assess whether an individual is appropriate for referral to the programme and will also complete a light touch skills assessment. This process will identify unemployed adults who:
may find work themselves or with the support provided by JCP or Careers Wales and who therefore should not be referred to the Employability Skills Programme;
may not be ready for employment within six months and need more intensive support to that available within the Employability Skills Programme.
The Individual Skills Gateway (ISG) for Adults
M22. JCP will refer individuals to the Individual Skills Gateway (ISG) for Adults where the Work Coach considers there is a need for an individual to access the additional services provided by the ISG. If Careers Wales identifies unemployed adults who it feels should not have been referred to this programme, it will contact the JCP Work Coach to discuss.
M23. Where Careers Wales identifies individuals whose needs can be met by this programme, it may make a direct referral subject to receipt of a letter from JCP confirming eligibility.
Eligibility evidence requirements for providers
M24. Providers must be in receipt of a JCP referral letter signed prior to, or on the start date, in respect of all individuals. The JCP referral letter will state if the individual is on Jobseekers Allowance or Universal Credit, or is registered with JCP and claiming credits only. Providers must be in receipt of a signed referral form from NPS/CRC for offenders accessing the provision. [PAGS]
M25. Providers must retain evidence of the individual’s eligibility and will be asked to produce it during routine monitoring and PAGS audits. Providers must also satisfy themselves before seeking Welsh Government funding that there is a reasonable likelihood that the learner will be able to complete his/her programme. [PAGS]
M26. If an individual fails to attend the programme, the JCP Work Coach should be informed. Timesheets must be completed for evidence of the participant’s attendance on the Programme. [PAGS]
Benefits
M27. Individuals will be restricted to a maximum of 30 hours activity (training and work based) each week for the duration of the programme.
M28. For individuals claiming Job-Seekers Allowance participation will be restricted to a maximum of 16 hours, face-to-face, centre-based training activity per week for the duration of the programme in line with DWP rules. Providers should ensure that individual Employability Plans are developed in line with this to ensure no negative impact on benefits as a result of participation in the programme.
Employability Plan
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M29. Providers should develop an individual Employability Plan for each participant of the Employability Skills Programme. Providers should use the information from the JCP referral letter along with results of the ISG assessment, where provided. The Wales Essential Skills Toolkit (WEST) Initial and Diagnostic Assessment (IA) results will evidence essential skills needs. [PAGS]
M30. All employability activities should be planned to meet the individual’s needs as identified by the ISG (where provided) and the provider’s initial assessment. Form ESP2 is an example of an Employability Plan. An Employability Plan must, as a minimum:
clearly identify the individual by name and unique identifier;
include the individual’s prior learning and assessed needs;
specify the expected duration of placement/training in hours/weeks which allows the individual a reasonable prospect of successfully completing his/her placement/training;
set out the start date and the frequency of reviews to be followed;
set out the planned attendance;
set out any agreed support arrangements;
contain a brief statement of the individual’s employment or career objectives;
be agreed by the individual and the provider and, where appropriate, the employer;
contain a declaration authenticated by the individual that s/he has agreed the Employability Plan and that s/he has commenced the activities contained within it. This should include a Welsh Government Privacy Statement.
specify the individual’s preferred language of training (Welsh or English) and preference for Welsh-medium or bilingual delivery of learning during the programme; and
specify opportunities to maintain and/or develop the individual’s Welsh language skills during the learning period, where appropriate. [PAGS]
M31. The provider must ensure that the activities agreed in the Employability Plan are carried out. Any subsequent changes to the Employability Plan must be agreed between the individual and the provider. Changes must be recorded on the Employability Plan.
M32. Individuals shall have unrestricted access to information on their placement/training arrangements/Employability plan.
M33. In addition, providers will be required to:
submit information accurately regarding individual and outcome details, completion certificates etc. as evidence for claims via the data management system.
to make individuals aware of the requirement for Privacy Notices and actively encourage them to authenticate these to enable contractors to contact them for evaluation and monitoring purposes in order for us to better evaluate and monitor the performance of the Employability Skills programme. This is contained in the participant’s registration form (ESP1).
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use marketing materials produced by the marketing contractors and authorised by Welsh Government. If, in addition, contractors choose to create their own materials these must be approved by Welsh Government prior to them being used. All materials must also include and display the Welsh Government logo and adhere to the Welsh Language Standards. Marketing leaflets will be provided by the Welsh Government;
ensure that all activities noted in the Specification are available to individuals in Welsh and/or bilingually so that any individuals choosing to undertake qualifications through the medium of Welsh are provided such training, support and assessment by appropriately qualified Welsh speaking staff.
Work Focused Delivery
High Quality Work Placement
M34. Evidence shows that successful employment and training programmes are built on the engagement and active involvement of employers, as well as voluntary and community organisations to give unemployed adults experience of a real workplace to enable them to develop the confidence, skills and attitudes needed to get and to sustain work. The evidence also supports the delivery of training alongside work placement activity to contextualise, reinforce and provide the opportunity to put into practice acquired skills. [PAGS]
M35. A high quality work placement should be delivered in accordance with the following principles. A high quality work placement will:
provide experience of a real workplace with a local employer, voluntary or community organisation;
provide quality work experience consisting of meaningful work activities that reflect actual employment;
be matched to the individual’s needs and interests as reflected in their Employability Plan;
be matched to actual vacancies or areas of emerging demand in the local labour market;
include a written agreement made between the individual, employer and provider which sets out mutual expectations and commitments and which includes induction processes, clear objectives and a timetable for regular reviews;
include a real job interview. Where this is not feasible the job interview should be replaced with employer feedback reflecting on the time spent on the work placement. [PAGS]
M36. A work placement is expected to last between 120-240 hours over the maximum six month programme duration. This will allow providers to design programmes that meet the needs of individuals and to deliver training elements alongside work placements. However, this should be a flexible approach and can be shorter or longer dependent on the needs of the individuals. It is good practice to inform the JCP Work Coach of any work placement activity. During the work placement providers must remain in contact with the individual to assess development against the employability plan. A Health and Safety assessment must be completed prior to the individual starting the work placement to ensure the individual is placed in a safe environment. [PAGS]
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Employer Specific Training
M37. Employer specific training is the delivery of bespoke employability and skills activities delivered in partnership with a recruiting employer, group of employers or economic sector. Bespoke employability and skills activities can be agreed between the provider and employer/s actively seeking to recruit individuals that meet the eligibility requirements of this programme. These activities may be employer/sector focused and tailored to the needs of the recruiting employer/s. Employer specific training opportunities can be identified by JCP or by providers. [PAGS]
M38. Employer specific training can be delivered flexibly dependent on employer requirements up to a maximum of 8 weeks, within which a maximum of 30 hours activity can be delivered per week. JCP should be consulted in all cases to ensure compliance with benefit rules. [PAGS]
M39. Employer specific training must include the offer of a real job interview upon completion of the employability and skills activities where an employer or employer group has been identified. Live opportunities will be posted at Jobcentre Plus enabling individuals to access current vacancies. The Skills Gateway will also advertise vacancies through the Job Matching service. [PAGS]
M40. Welsh Government may allow exceptions to the programme eligibility for employers seeking to recruit unemployed adults who do not meet all of the eligibility requirements stated. This will be assessed on a case by case basis by JCP. [PAGS]
M41. If an individual does not attend the training JCP Work Coach should be informed. [PAGS]
M42. Licences may be delivered within the Employer Specific Training part of the Employability Skills programme. Licences must be completed within the duration of the employer specific training element of the programme, take into account the funding caps applied and must lead to an offer of employment with the recruiting employer. This will be assessed on a case by case basis by Welsh Government and JCP. Providers should contact [email protected]. [PAGS]
Centre Based Training
Work Preparation
M43. Work preparation training might include CV writing, interview preparation and practice, job-search techniques and inter-personal skills or confirmation of an occupational focus. It may also include delivery of training related to workplace health, for example, managing stress in the workplace and work/life balance. It is anticipated that work preparation training will be delivered through centre-based activity.
Essential Skills
M44. Essential Skills Wales qualifications up to and including Level 2 can be delivered within the Employability Skills programme. These qualifications must form part of the individual’s Employability Plan.
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M45. In 2014 the Welsh Government commissioned the development of a single, standardised, on-line essential skills assessment tool for use by all Welsh Government contracted providers, the Wales Essential Skills Toolkit (WEST). It is a contractual obligation for all providers delivering Welsh Government programmes of learning of more than 5 hours per week, to undertake an assessment of the individual’s essential skills using WEST within 2 weeks of an individual commencing a programme. Providers will therefore be required to use the WEST to assess the essential skills of individuals as part of the Employability Skills programme. [PAGS]
Vocational Skills Training
M46. Vocational skills training can include delivery of stand alone qualifications such as Health and Safety, First Aid, Manual Handling, Fire Awareness. These qualifications must form part of the individual’s Employability Plan.
Positive Outcomes
M47. Employability Skills is an employment focused programme. Taking into account the target cohort for this programme the expectation is that providers will secure a minimum progression rate into employment of 55%. For offenders in the community the expectation is that 50% of all leavers achieve qualification/units of qualifications. [PAGS]
M48. Providers are also expected to increase individuals’ level of essential skills competence up to level 2 where appropriate. [PAGS]
M49. With the exception of offenders in the community who are only able to access essential skills provision, performance will be measured as progression into employment or self-employment. A job outcome is a minimum of 16 contracted hours work per week and is paid employment; this may be comprised of more than one contract of employment so long as the minimum number of paid hours of employment totals 16 per week. Zero hour contracts are not acceptable. Only one job outcome per individual accepted. The outcome payment will only be paid when the individual has successfully achieved a job outcome and this is recorded on the data management system when four weeks employment has been reached. ESP4 Destination Form must be completed and a payslip must be used as evidence. For those entering self-employment, evidence of self-employment must be provided e.g. registering with HMRC as self-employed. [PAGS]
Strand 2 - In-work Coaching
M50. Evidence demonstrates that the first few weeks and months of employment are the time when new employees are most at risk of dropping out of work. To support individuals to sustain employment achieved as an outcome of the Employability Skills Programme, providers may offer in-work coaching from week one of employment and on at least a monthly basis to employees for a maximum of three months following employment. The purpose of the coaching is to provide continuity of contact for the employee and to offer support to overcome any barriers to sustaining employment. [PAGS]
M51. Providers must secure the written agreement of the employer to the coaching including any continuation of support. Providers must develop a ‘coaching contract’ between the provider, the employee and the employer which defines the
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parameters of the agreement, the support to be provided, which must include face to face support, its frequency and the preferred means of communication. This is set out in the In-Work Coaching form (ESP5). [PAGS]
M52. Providers must record the date and a brief description of coaching activity and outline any support provided. Authenticated copies must be retained by the provider as evidence that the coaching support has taken place for 4 months. [PAGS]
M53. Individuals may not access other elements of the programme during this period. Although, participants can continue their essential skills training. [PAGS]
Programme Duration
M54. We expect an individual’s Employability Skills programme to last up to six months (excluding any in-work coaching). The length of the planned programme should reflect the needs of the individual. The programme is designed to ensure all individuals get substantial work experience and training while giving providers the flexibility to tailor programmes to the needs of each individual.
Assessment and Review
M55. The provider must review each individual’s progress as frequently as necessary but at least monthly, and as outlined in the Employability Plan. [PAGS]
M56. The provider must ensure that the progress review shall:
be conducted in an appropriate environment, away from the pressures of the workplace;
allow sufficient time for proper discussion; and
involve the individual, the provider and (where applicable) the work placement provider, in person or virtually. [PAGS]
M57. A review shall include:
actions agreed at the previous meeting;
progress towards achieving the Employability Plan;
details of assessments undertaken;
progress towards qualifications (if appropriate);
identification of any obstacles to completing the programme and the support offered to address;
agreed plan of learning for the period to the next review; and
any agreed amendments to the Employability Plan.
The record of the review shall include confirmation that the progress review took place and should be authenticated by the individual, the provider and, where applicable, the work placement provider. [PAGS]
Individual entitlements and support
M58. All individuals, including those on the Offender programme, that are not employed may be eligible to receive a contribution towards travel costs. Refer to the WBL Support Cost Guidance for information.
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M59. Individuals that are not employed may be eligible to receive a contribution towards Childcare support. Refer to the WBL Support Cost Guidance for information relating to the maximum levels of available support.
The following forms must be used in conjunction with this guidance and can be found
at:
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-
contracts-2015-to-2019/programme-specification-and-guidance/learner-
forms/?lang=en
ESP 1 – Participants Registration
ESP2 – Employability Plan
ESP3 – Work Placement
ESP4 – Destination Form
ESP5 – In-work Coaching form
Annex 2 – Employability Skills Programme Delivery Process map
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JOBS GROWTH WALES (JGW)
Section N: Programme Information and Eligibility
N1. JGW is a package of support to help job ready unemployed young people aged 16 – 24 into a paid and sustainable job opportunity for a six month (26 week) period.
N2. Participants must be employed for a minimum of 25 hours per week up to a maximum of 40 hours per week; contracted hours must be fixed at the outset. Participants must be in receipt of a wage at or above the National Minimum Wage (NMW) rate as appropriate for their age.
N3. Participants must be gainfully employed for the duration of their time with the employer and the jobs created must be additional to the workforce and not replace positions that would otherwise be filled. For recruitment to the JGW programme to take place there must be an individual job description which outlines the structure and scope of the job role that the Participant will undertake. All jobs will be advertised through Jobs Growth Wales Live system on the Careers Wales website. All jobs created for the JGW programme need to ensure that the participant gains a valuable work experience which will enhance their skills and future career prospects. [PAGS]
N4. A positive outcome of the JGW programme is to support participants to gain work experience and to enable them to enter sustained employment including, an apprenticeship. Therefore, all of the jobs created should not specify a requirement for previous work experience or specific vocational qualifications which could limit the number of participants who could apply for that opportunity. However, we accept that some jobs, will require a standard of general education – e.g. 5 GCSEs at A*-C or a degree or equivalent. Where a graduate opportunity has been created, the degree must be relevant to the job opportunity.
Participant Eligibility for the JGW Programme
N5. Participants are eligible for the programme if they are considered ‘job ready’ and are able to provide evidence to support the below entry requirements:
1. Aged 16-24 years old; and
2. Unemployed at the point of application; and
3. Unemployed when commencing (i.e. day 1) of their job opportunity;
and
4. Are domiciled in Wales; and
5. Have a legal right to live and work in the United Kingdom; and
6. Have applied for the job opportunity via the Jobs Growth Wales Live
system.
N6. Those who have completed the Work Programme through the Department for Work and Pensions (DWP) are also eligible provided they meet the six criteria at paragraph N5 above.
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‘Job ready’ definition
N7. An individual must be considered ‘job ready’ by a Jobcentre Plus Work Coach (18-24 year olds) and Careers Wales advisers (16-17 year olds) and must be deemed as ‘job ready’ at the point of application to enter the labour market if they:
Are actively seeking work;
Show motivation and commitment;
Understand the importance of punctuality and can demonstrate this;
Have attended interview skills training or a mock interview;
Show confidence and self-esteem and are well-presented;
Understand in-work etiquette;
Have worked to address all barriers to work;
Have a specific occupational focus
Have a stable living environment;
Have realistic expectations for gaining employment;
Have completed relevant employability or pre-recruitment training; and
can attend interviews;
Have no identified literacy or numeracy issues;
Have been referred by Careers Wales or Jobcentre Plus.
N8. For the purpose of the JGW Programme, ‘unemployed’ is defined as:
An individual who does not hold a contract of employment and is engaged with Jobcentre Plus (or Careers Wales for participants aged 16-17).
Ineligibility
N9. Individuals are ineligible for the programme if they are, on day 1 of the job
opportunity:
Of compulsory school age; or
Have reached the age of 25; or
Not considered ‘job ready’; or
Attending school or college full time as a pupil or student; or
In full time higher education; or
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Already enrolled in/undertaking a Welsh Government WBL programme;
or
Already have a contract of employment; or
An ineligible overseas national; or
In custody or on remand in custody; or
In receipt of an Assembly Learning Grant or Education Maintenance
Allowance; or
Not domiciled in Wales; or
Referred to or participating in DWP Work Programme/ Work Choice; or
If they are unable to provide evidence for the ‘eligibility criteria’ noted in
N5; or
They are currently on the Jobs Growth Wales (JGW) programme or have
completed a job opportunity through JGW (subject to eligibility under
paragraph N13); or
They have previously been employed with the recruiting employer.
[PAGS]
N10. Participants will be able to progress directly onto the JGW programme upon successful completion of the Welsh Government’s Traineeship programme; Lift programme; or other key programmes that have been agreed by the Welsh Government. Welsh Government written approval is required before participants commence a JGW job opportunity from other programmes not listed above.
N11. The Welsh Government reserves the right to change the eligibility criteria at any point during the contracted period, providing at least 60 days notice in writing is given before such a change is implemented.
N12. Although participants are ineligible to re-enter the JGW programme if they have previously completed a job opportunity through JGW, they may be able to re-access the JGW programme with a different employer if the opportunity has ended early due to circumstances out of their control e.g. business has ceased trading/premises closed, or it can be demonstrated that it is, in the opinion of Jobcentre Plus or Careers Wales, of genuine benefit to the participant in re-entering the programme. In these instances, participants would not be eligible to re-enter the JGW programme with the same employer who provided the job opportunity under JGW on a previous occasion. Any participant re-entering the JGW Programme must seek prior agreement with the Welsh Government.
N13. Participants must complete a self-declaration of eligibility on the Jobs Growth Wales Live system when applying for vacancies. Contractors are responsible for verifying a participant’s eligibility using the Participant Registration form and the 2014-2020 ESF eligibility guidance (see N39). This must be completed before a participant is offered a JGW opportunity. Contractors are responsible for ensuring only eligible participants are recruited to the JGW programme and retaining the
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evidence of eligibility. Contractors may be asked to produce it to the Welsh Government within 5 working days of the request. [PAGS]
N14. The Welsh Ministers will not make any payment to Contractors in respect of ineligible Participants and will seek repayment of any sums paid in error from the Contractor.
Employer Eligibility
N15. Employers are eligible for participation in the programme if they can demonstrate that they meet all of the following criteria: [PAGS]
Employer Standards:
1. The Employer is based in Wales; and
2. The Employer is from the Private or Third Sector; and
3. The Employer has appropriate employer liability insurance in place; and
4. The Employer confirms that none of the Directors or members of the
Management Board of the company have previously owned, been
employed as a Director or member of a Management Board of any
company that has been liquidated or made insolvent within the last 12
month period; and
5. The Employer will ensure that the appropriate provision is made for
health, safety and welfare for Participants and that it complies with the
Health & Safety at Work act 1974 and all other relevant legislation
(including Codes of Practice and Guidance Notes issued from time to
time by the Health & Safety Executive); and
6. The Employer will provide the Contractor with notice in writing of an
intention to terminate the Participant’s contract and the reason for
termination; and
7. The Employer is responsible for notifying the Contractor if the candidate
is already known to the Employer. Participants cannot have previous had
a contract or employment with the employer; and
8. The Employer agrees to handle Participant’s personal data relating to the
Programme in line with the principles of the General Data Protection
Regulations ; and
9. The Employer is not currently working with another WBL Contractor on an
existing JGW opportunity; and
10. The Employer has confirmed that they are not currently in receipt of other
ESF funding in respect of the available JGW opportunity.
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Additionality
1. The job opportunity is additional to the existing workforce; and
Sustainability
1. The Employer has been trading for a minimum of six months, has
identified growth plans; and
2. The intention is that the job becomes sustainable following the 26-week
opportunity; and
3. The job opportunity is not considered to be seasonal, there is currently no
recruitment activity already underway for this post or the job opportunity
has not been created to cover sickness leave or maternity leave and will
not result in the displacement of any existing employees; and
4. Where the Employer has previously accessed the JGW programme, they
are able to demonstrate that they sustained the Participant at the end of
the JGW opportunity; and
Quality
1. The job opportunity provides quality work experience and the Participant
has a clear and specific job description outlining the role and
responsibilities of the job opportunity; and
2. The Participant will be paid at least the National Minimum Wage (NMW)
rate for their age; and The job opportunity will last for at least 6 months
(26 weeks) and the Employer will give the Participant a contract of
employment that notifies in writing his/her terms and conditions of
employment with the Employer. This must be in place from day one of the
job opportunity. The Participant must be notified in writing of any
subsequent changes to their terms and conditions; this must include the
Employer’s standard terms and conditions of employment including
holiday and sick pay entitlement shall apply to Participants. The
Participant will also be entitled to time off for (or in lieu of) statutory
holidays. The Welsh Government will reimburse the employer’s
contribution towards statutory sick pay; and
3. The Employer will ensure that the Participant has a named line manager
within the company who is responsible for supporting and supervising
them; and
4. The Employer will take part in the interview process and provide relevant
feedback to the Contractor on unsuccessful candidates; and
5. The Employer will meet the cost of any resources, including any training
costs, required by the Participant to undertake the job opportunity; and
the Employer will comply with the systems and processes in place to
advertise the job vacancies as directed by the Welsh Government; and
Financial
1. The Employer is responsible for any overtime payments, which will not be
reimbursed by Welsh Government; and
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2. The Employer will keep a record of the Participant’s attendance each
week (via an authenticated timesheet) and provide this to the Contractor
on request; and
3. The Employer has procedures in place to account for PAYE, National
Insurance and other deductions in respect of payments to the Participant;
he Employer shall, if so requested, make available to the Contractor and
Welsh Government all accounting, financial, payroll and other records
relating to the JGW Programme; and
4. The Employer is aware of the Contractor’s payment process and
timescales for reimbursement and their obligation to provide the
necessary evidence to allow the Contractor to process the payment
(reimbursement of wages, in arrears); and
5. The Employer is responsible for meeting the cost of NI contributions and
Pension contributions where applicable; and
6. The Employer must be able to pay the Participant through an auditable
process e.g. BACS, Cheque, Bank Transfer. Cash payments are not
permitted; and
7. The Employer has sufficient funding available for the Participant to be
paid regularly as part of their regular workforce and will demonstrate
evidence to support this; and
8. The Employer will ensure that no concurrent funding under a
Government-funded programme is received in respect of any Participant;
and
Monitoring and Evaluation
1. The Employer agrees that their details will be sent to WEFO which will be
held securely by them for the retention period specified by WEFO for the
JGW Programme and only used for statistical and research purposes.
Following the end of the Programme retention period these details will be
destroyed. The details that will be passed on are those contained in the
Employer Application form and will be done so as a condition of funding,
this includes participating in the evaluation of the JGW Programme and is
aware that they may be contacted; and
2. The Employer agrees to participate in monitoring and audit activity when
required; and
3. The Employer will provide participants’ destination data when the
participant’s opportunity has ended; and
Creating multiple vacancies
N16. Multiple vacancies will be assessed on a case-by-case basis and will only be awarded to Employers who are able to demonstrate sustainability of previous JGW participants, or can demonstrate that multiple vacancies do not account for the majority of their workforce. If there is any doubt over the awarding of multiple vacancies Contractors are expected to discuss this with Welsh Government.
N17. It is the Contractor’s responsibility to ensure that the Employer meets the eligibility criteria noted above.
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N18. The sustainability of these job opportunities is key to the success of the JGW programme and Contractors must ensure that this is discussed with the employer from the outset to ensure that the Welsh Government is supporting employers with genuine plans for growth and expansion so that the opportunities can be sustained.
N19. The Contractor is responsible for briefing the Employer on the impact that the sustainability requirements of the JGW Programme may pose on their future involvement on the Programme (see below).
N20. Where an Employer has previously accessed the programme they will need to demonstrate that they have sustained the required level of participants that completed the programme as outlined in the table below. Where a participant did not complete the full 6 months, through no fault of the employer, that participant will not be counted in the sustainability assessment calculation.
Employer’s Sustainability Rate
Eligibility Comments
70% + Eligible to progress
Providing they are able to meet the eligibility criteria for the programme, they will be considered for future opportunities.
50 – 69% Ineligible to progress
The decision will be made on the information held on the Welsh Government database at the time, and any corrections to this information should be considered as an appeal. Employers are also able to appeal if they are able to provide additional evidence to support the reasons for the lower sustainability rate and these will be dealt with on a case-by-case basis.
Below 50% Ineligible to progress
Employers that are not able to demonstrate a sustainability rate of 50% or above for participants who completed the programme will not be considered for future opportunities.
N21. How the rates are calculated
The sustainability rates are calculated by dividing the number of participants who have completed the programme and have been retained by the Employer by the total number of JGW participants who have been employed by the company. This figure is multiplied by 100 to determine the sustainability percentage rate.
Participants who are still on the programme are not included in this calculation and we would expect to see the destination outcome of current participants before considering future opportunities where there is no sustainability history for the employer.
N22. The Welsh Government may direct Contractors to target employers from specific sectors to align with regional priorities.
N23. Public sector Employers are ineligible to participate in the JGW programme.
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State Aid
N24. The financial support provided under the Jobs Growth Wales programme is delivered under the de minimis State Aid regulation. The de minimis aid regulation means that there is a limit on the amount of state funding (from any public source, not just central government) that can be provided to any single undertaking (company) over a three fiscal year period. The current limit is set at €200,000 (€100,000 for undertakings in the road transport sector). [PAGS]
N25. The Employer must detail how much de minimis state aid they have received in
the last 3 fiscal years. The amount of funding awarded to the Employer under this programme will also count towards their de minimis limit at the time of making the award and the Contractor must make Employers aware of this. [PAGS]
N26. Contractors must ensure that Employers have completed the State Aid declaration and have not exceeded the State Aid limit prior to participating in the programme. The Contractor must retain a copy of the State Aid declaration for audit and verification purposes. [PAGS]
N27. Employers that have reached the de minimis limit may still be eligible for participation in the programme under the General Block Exemption Regulation (GBER). [PAGS]
N28. Employers that are participating in the programme under the GBER State Aid regulation will not be entitled to the full wage reimbursement. The wage reimbursement will be capped at 50% of the age-appropriate NMW rate. This will automatically be calculated by the data management system.
Allocating and Awarding JGW Job Opportunities
N29. Allocations for the JGW programme will be made on a financial year basis.
N30. The baseline for determining the allocation is the number of unemployed 16-24 year olds per local authority area. The reporting of ‘filled’ jobs should be recorded using the local authority area of the participant.
N31. The Contractor will be required to submit a Delivery Profile at the outset of the JGW Programme. This will detail expected monthly job opportunity starts, split into the East Wales and West Wales and the Valleys programme areas.
N32. Formal Quarterly Contractor performance reviews will take place. These reviews will determine future allocations including any in-year reallocation. Contractors should not exceed their maximum allocation and should not submit jobs to the JGW Live system once the maximum allocation has been reached.
Priority Recruitment
N33. The Programme will be part-funded by the European Social Fund (ESF) through the Welsh Government. Contractors are required to pay particular attention to supporting jobs and participants in West Wales and the Valleys (WWV) areas to maximise drawdown of European Funding.
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N34. Welsh Government reserves the right to freeze the recruitment of participants from areas where funding has been maximised.
N35. Welsh Government expects Contractors to align with regional priority sectors where possible.
Evidence of Eligibility
N36. Contractors are responsible for ensuring that Participants are eligible to engage with the JGW Programme. The eligibility of participants should be verified prior to appointment with an Employer. [PAGS]
ESF Evidence Requirements
N37. In order to ensure that the process is as streamlined as possible, we have provided a list of evidence below that is necessary for each young person.
Basic rules to participate in the Wales ESF programmes
N38. Participants must have the legal right to live in the UK during the period of ESF support. For ESF operations which are designed to help participants to gain work or other work-related outcomes, the participant must also have: the legal right to work in an EU member state.
N39. Contractors must provide evidence of the following eligibility criteria. Please see Section AA of Part 1: Programme Specification. [PAGS]
Evidence of legal right to live and work in the UK:
Evidence of ‘unemployed’ status immediately prior to entry:
Evidence of Age:
Evidence of home address:
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Section O: JGW Participant Terms and Conditions
Participant Entitlement
O1. Participants must have a contract of employment which notifies them in writing of their terms and conditions of employment with the employer upon starting the JGW programme (‘day one’ of the job opportunity). The Contractor must retain a copy of this and may be asked to produce it to Welsh Government as part of the monitoring process. Participants must also have a clear and specific job description outlining their job role. Furthermore, they must be notified in writing of any subsequent changes to their terms and conditions of employment or job duties. [PAGS]
O2. Payment of wages shall be at least the appropriate NMW rate for the participant’s age. The rate of pay may exceed the age-appropriate NMW if the employer so chooses but the Welsh Government will only reimburse wage costs against the NMW (100% reimbursement from April to 30th September and from 1st October 2016 will be reduced to 50% reimbursement). All participants must commence their employment by 31st March 2016 for the contract year 2016/2017. [PAGS]
O3. The Contractor must provide the Participant with their contact details for the duration of their time on the JGW job opportunity.
Attendance and Absence
O4. Participants must attend their employment for a minimum of 25 hours per week in any 7-day period. The maximum hours of attendance for funding purposes shall be 40 hours (including statutory breaks) in any 7-day period. The employer must declare a fixed number of hours of employment per week between 25 and 40 hours. This should be fixed from the outset and remain in place for the 26 weeks. Note: Once agreed this cannot be changed. The data management system will cap payments at the value declared. The Welsh Government will not reimburse costs where attendance is in excess of the number of contracted hours specified in their contract of employment. Where the job requires irregular attendance, the employer must still declare a fixed number of contracted hours of attendance per week. [PAGS]
O5. The employer’s terms and conditions of employment, including standard holiday entitlements, sick pay etc. shall apply to Participants. If a Participant is not being sustained at the end of the opportunity, employers must encourage Participants to use any holidays that have been accrued as the Welsh Government will not reimburse these after the 26 weeks have ended. The Welsh Government will reimburse employers contribution towards Statutory Sick Pay following recent legislation changes but again, will not reimburse costs after the 26 weeks of funding has ended. [PAGS]
O6. The Contractor must have in place appropriate procedures to monitor the Participant’s attendance during the period of the programme and must maintain evidence that a Participant is/was attending the job opportunity. Where the employer cannot provide satisfactory evidence of attendance e.g. timesheets, authorised absence and/or payment the Participant shall no longer be supported or funded under the JGW programme. [PAGS]
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Recording Terminations from the Programme
O7. If a Participant stops attending work, or resigns, during the JGW job opportunity, then the Participant is to be removed from the JGW programme with effect from the last working day for which there is evidence that the Participant attended. Payment must cease immediately from the last working day for which there is evidence that the Participant attended the job opportunity. [PAGS]
O8. The Contractor must ensure employers are aware of their obligation to notify them in this eventuality, and must document the reason for the termination. [PAGS]
26 week job opportunity not completed
O9. Should the Participant have the opportunity for a positive progression before the completion of the 26 week opportunity, this should be encouraged by all parties e.g. to commence an Apprenticeship.
O10. Where a Participant has voluntarily exited the programme within 28 days of the start date, the employer may re-advertise the job opportunity and fill it with a new Participant for the full 26 weeks. The Contractor must use a new allocation when this occurs.
O11. Where an employer has decided to terminate a Participant’s contract due to behavioural problems/issues, the Contractor must be satisfied that there was a genuine case for dismissal. If there is a genuine case and within 28 days of the start date, the employer may re-advertise the job opportunity and fill it with a new Participant, however, this must be utilised from a new allocation. Recycled vacancies are no longer permitted through the programme. [PAGS]
Participant Support
O12. Each Participant must have a named line manager from the participating Employer who is responsible for supporting and supervising him/her during the JGW programme. The Contractor is responsible for ensuring this mechanism is in place before commencing a job opportunity with an Employer and remains in place for the duration of the Programme.
O13. The Contractor must provide mentoring support to the participant for the duration of their job opportunity. [PAGS]
O14. Contractors must, for the duration of the Programme:
Agree a suitable communication method for monthly contact with the
Participant;
Contact the Participant on a monthly basis as a minimum;
Meet with Participant face to face at least once;
Record the date and a brief description of the conversations using the
Mentoring form. Hard copies of the mentoring forms must be retained by
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the Contractor as evidence that the mentoring support has taken place.
[PAGS]
O15. Where a Contractor is unable to get hold of the Participant within 7 working days of their agreed mentoring session they must;
Contact the Employer to verify whether the Participant is still employed
with them, and ask to speak to the individual;
Contact the Participant during different times of the day;
Contact Participant using alternative contact details where provided;
Issue a letter to the Participant asking them to make contact.
Contact Welsh Government if all above methods have failed.
Contractors must keep an audit trail of efforts made to contact
participants[PAGS]
O16. Contractors must inform the Employer that they will be contacting the Participant
throughout the Programme to review progress. [PAGS]
O17. Contractors must check that the job descriptions reflect the work being undertaken by the Participant. Contractors must check that the wages paid are in line with the value claimed by the Employer. An outline of questions that can be used to enable further discussion can be found on the Mentoring form. Hard copies of the mentoring forms must be retained by the Contractor as evidence that the mentoring support has taken place. [PAGS]
O18. Contractors must make contact with the line manager to discuss Participants’ progress and give the employer the opportunity to report any issues they may have. [PAGS]
O19. Contractors must, for the duration of the Programme:
Agree a suitable communication method for monthly contact with the
Employer;
Contact the Employer on a monthly basis as a minimum;
Meet with Employer face to face at least once;
Record the date and a brief description of the conversations using the
Mentoring form. Hard copies of the mentoring forms must be retained by
the Contractor as evidence that the mentoring support has taken place.
[PAGS]
O20. Where a Contractor is unable to get hold of the Employer within 7 days of their agreed review they must;
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Inform WG that they are unable to make contact;
Issue a letter to the Employer asking them to make contact. [PAGS]
O21. If the opportunity is not being sustained, Contractors must ensure that the Participant is fully supported in any future job search activity and referred to the appropriate support bodies e.g. Careers Wales and/or Jobcentre Plus (JCP). Contractors must support the Participant in identifying the skills/experience/training that they gained throughout the Programme which will support them into further sustained work or an Apprenticeship. [PAGS]
Additional Support
O22. Participants who are disabled can access the DWP Access to Work programme which is a specialist disability service delivered by Jobcentre Plus. This service provides practical advice and support to disabled people and their employers to help them overcome work related obstacles resulting from disability. It is provided where the employee requires support or adaptations beyond those “reasonable adjustments” which an employer is legally obliged to provide under the Equality Act 2010.
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Section P: The JGW Programme and related requirements
P1. The maximum number of opportunities per Contractor is outlined in the individual Contractor’s Finance Schedule.
P2. The JGW programme will be offered for a maximum of 26 weeks or 182 days for each Participant.
Recruitment/Referral
P3. All Employers recruited to the Programme must be referred through the Jobs Growth Wales Expression of Interest form on the Skills Gateway website. All Employers will be passed to the Jobs Growth Wales team in the first instance to determine any history of prior involvement and the sustainability rates of previous participants that have completed the programme.
P4. The below details the process the Jobs Growth Wales team will follow upon receipt of an Expression of Interest: [PAGS]
Employer completes EOI
Employers who do not meet the basic eligibility criteria for the programme will be immediately referred to Business Wales where additional assistance will be offered that may assist the
Employer to qualify in the future.
EOI sent to JGW mailbox JGW team to check Employer’s eligibility and sustainability using information held on the data
management system.
Where an employer does not meet the eligibility criteria for the programme due to sustainability issues etc. the JGW team will contact the employer to discuss the reasons and begin any appeal proceedings. This will be done within 5 working days of receipt of an EOI. An employer will then have 14 working days to respond to the appeal, following which there will be a further 5 working
days for the JGW team to approve the employer. Please note these are the maximum timescales.
Where an employer meets the eligibility criteria they will be sent directly to their chosen
contractor within 5 working days of receipt of an EOI.
The contractor will then be expected to contact the employer to undertake their own checks and complete the paperwork. The contractor will then upload the job vacancy to Careers Wales AMS
and send an electronic version of the employer application form to the JGW team.
QA of job vacancy The JGW team will quality assure the job vacancy and set live within 3 working days.
P5. Where a Contractor is unable to meet the needs of an employer, the Contractor must signpost the employer to other Contractors to ensure that employers have the opportunity to engage in the JGW programme.
P6. Contractors must manage employers’ expectations from the outset in terms of:
Process for payments i.e. employers should have enough money to pay
Participants as part of their regular workforce and will receive
reimbursement from Contractors in arrears;
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The recruitment process - on average, the whole process from enquiry to
filling the vacancy takes around eight to ten weeks. [PAGS]
P7. Any concerns the Participant has about their job opportunity should, in the first instance, be made to the Contractor managing the opportunity to resolve the issue with the employer. In the event of a resolution not being reached, the Participant should be referred to other agencies which will be able to offer support and guidance on Employee v Employer disputes, such as ACAS or Citizen’s Advice Bureau. The Welsh Government will not be responsible for resolving contract/employment issues.
P8. The Contractor must agree the job to be advertised (in compliance with the requirements of this Programme Specification). The Contractor must work in partnership with the recruiting employer and other partner agencies.
P9. The Contractor must have documented and agreed procedures for ensuring that available vacancies are additional and of sufficient quality before being advertised through the JGW Live system. Contractors must satisfy themselves that the job title assigned to the job description is an accurate reflection of the post described. This will determine the number and quality of applications that the post receives, so it is important to get it right. The Welsh Government reserves the right to quality assure vacancies before they receive approval to go live on the system. If the Welsh Government identifies a problem with the job the Contractor will be responsible for resolving this with the employer.
P10. The Contractor must inform the JGW team and Career Choices Dewis Gyrfa of any changes to the vacancy.
P11. The Contractor must ensure that applicants from each point of referral (Career Choices Dewis Gyrfa, JCP and any Learners progressing from other Welsh Government Programmes such as Traineeships and Lift and direct progression from JCP Work Experience Programme) have equality of opportunity as potential programme Participants.
P12. Where appropriate, prospective Participants identified through the referral agents (Career Choices Dewis Gyrfa and JCP) may undergo an initial assessment prior to the JGW job opportunity to provide independent advice and guidance. An action plan will be developed for the Participant.
P13. The Contractor must discuss the process for sifting potential Participants and who will manage this prior to interview by the Employer.
P14. Contractors must submit all vacancies to the JGW Live System. Step by step guidance can be found in the JGW Live User Manual. Particular attention should be paid to the following: [PAGS]
Multiple Vacancies
P15. The system will allow Contractors to submit up to 20 vacancies in one vacancy form. A unique reference number will be generated for each vacancy form submitted. This vacancy number will need to be recorded as part of the Participant’s data record for the Welsh Government to know which vacancy the Participant is assigned to. The Welsh Government, if the jobs meet the eligibility criteria, will approve the jobs once uploaded on the system.
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Graduate Vacancies
P16. Where a Contractor submits a graduate opportunity to the system, the phrase “Graduate Opportunity” must be present in the job title e.g. “Graduate Opportunity – IT Manager” as well as the relevant degree or equivalent required to undertake the role. Where a graduate opportunity has been identified this requires someone at Graduate level to do that job and/or be relevant to the degree and not simply that the employer wants to recruit someone with a higher level of education. The Welsh Government will monitor this as part of the Quality Assurance process.
Employers Managing Applications
P17. Contractors must ensure that vacancies are correctly managed on the JGW Live system. Whilst Employers will retain the ability to manage their own vacancies, the Contractor must ensure the status of all vacancies is kept up to date. Automated monthly housekeeping reports will be sent out to Contractors to monitor the correct completion of system administration and discussed during Contract Management meetings.
P18. In addition, Employer log-in details for the JGW Live system will be issued directly to Employers and will no longer be sent to the Contractor.
Setting the ‘Live’ Period for the Vacancy
P19. Contractors must ensure that jobs are ‘live’ on the system for a minimum of 10 working days. Employers may wish for the vacancy to be ‘live’ for a longer period but minimum time requirements must be adhered to. There will no longer be an extension to the ‘live’ period for any vacancies. [PAGS]
Reporting vacancies status
P20. Contractors must update the status of the vacancy on JGW live no later than 30 days after the closing date of the vacancy and prior to an individual starting on the programme.
On-going Participation
P21. The Contractor must ensure that:
Participants are in receipt of a wage that is at least equal to the NMW for
their age;
an accurate record is maintained to demonstrate that Participants have
attended their job opportunity for the appropriate number of hours;
Employers maintain accurate records of payments made to Participants;
An accurate record of payments made to employers is held by
themselves. [PAGS]
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Exit Arrangements
P22. The Contractor must obtain destination data for Participants who leave the Programme early. The Destination Form must completed and authenticated within 4 weeks of the Participant’s employment end date, and the participant’s destination reported through the online data management system and the Destination form within 6 weeks of the participant’s end date. [PAGS]
P23. The Contractor must obtain an immediate destination for each Participant and upload to the Data Management System and complete the Destination form. The Destination Form must be completed and authenticated within 4 weeks of the participant completing the opportunity. The destination must be reported on the system within 4 weeks of the employment end date. Destination data which is not reported within 4 weeks of the employment end date will be noted as ‘not able to contact’ and will not be eligible for reimbursement of the £100 destination fee. This will also be recorded as a negative outcome for the contractor. [PAGS]
JGW Data Returns
P24. The Contractor must submit data to WG via the Data Management System in relation to each of their JGW Participants. The WG reserves the right to introduce alternative means of data collection by providing at least 30 days’ notice in writing of the change to Contractors. [PAGS]
P25. The Contractor must submit data on new Participants using the JGW Data Management System before the Participant commences their job opportunity with the Employer. This is to reduce the risk of ineligible Participants being appointed with Employers. [PAGS]
P26. The Contractor must notify WG within 5 working days of any Participants that do not start the job opportunity with the Employer once uploaded on to the Data Management System. [PAGS]
P27. The Welsh Government reserves the right to request additional data in relation to each JGW Participant during the course of the programme which must be provided within 5 working days. [PAGS]
P28. The Participant and Employer must confirm in writing that they consent to their information being passed onto the Welsh European Funding Office (WEFO) and other third party organisations contracted by the Welsh Government for evaluation purposes. This confirmation is included on the Employer application form and Participant registration form and authentication must be provided to support this. [PAGS]
P29. Records Management and Data Security conditions in Part 4 Section D apply to all records held for the JGW programme.
JGW Payments
P30. Between the 1st April 2016 and 30th September 2016 the Welsh Government shall reimburse the cost to cover the appropriate NMW (assessed on the state aid options outlined in section N24) for each participant in respect of contracted hours worked on the JGW job opportunity. Employers Expressions of Interest forms, which have been received by the Welsh Government between the 1st April
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2016 and the 31st July 2016, will be reimbursed 100% of the participant’s wages for the full 26 weeks of attendance. All job opportunities must be created by 30 th September 2016 to be eligible for this reimbursement rate of 100% of wages. Any additional EOIs or jobs created by those employers, after 1st August, will reduce to the new rate. [PAGS]
P31. From 1st October 2016, the Welsh Government shall reimburse 50% of the cost
of all jobs created to cover the appropriate NMW each participant in respect of contracted hours worked on the JGW job opportunity This will be automatically
be calculated and paid by the Data Management System. The minimum number of hours is 25 and the maximum number of hours is 40 which must include statutory breaks.
The NMW rates can be found at:
https://www.gov.uk/national-minimum-wage [PAGS]
P32. As per UK Government guidance, the appropriate NMW rate is derived from the age of the Participant, and the appropriate rate on the first day when the pay period commenced. Any NMW increase, related to a Participant’s birthday, should be submitted as a mid claim adjustment. [PAGS]
P33. The Welsh Government will reimburse employers contribution towards Statutory Sick Pay (SSP). [PAGS]
P34. The Welsh Government will not reimburse costs after the 26 weeks of funding has ended. [PAGS]
P35. The Welsh Government will not reimburse training costs. These must be met by the employer. [PAGS]
P36. The Welsh Government will not reimburse costs for holidays that have been accrued, or un-used. These should be taken during the JGW job opportunity. [PAGS]
P37. Payments will only be reimbursed against evidence of actual payments made in respect of the Participant’s employment. [PAGS]
P38. A maximum value will be calculated for each job opportunity. This will ensure that Contractors cannot exceed the rules of the JGW programme. This will be based on:
1st April – 30th September 2016 - the number of contracted hours per
week x 26 weeks (maximum job opportunity) x NMW (as appropriate
throughout the scheme for each Participant). This value will also include
the Management Fees.
1st October 2016 – 31st March 2017 - the number of contracted hours per
week x 26 weeks (maximum job opportunity) x NMW (as appropriate
throughout the scheme for each Participant) divided by 50%. This value
will also include the Management Fees. [PAGS]
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P39. For each participant the Contractor shall be paid a maximum management fee of £770 (excluding VAT) which is linked to the following payment schedule: [PAGS]
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NB. All fees noted below exclude VAT
Month Fee Description Evidence Requirements
1 £120 Employer Engagement fee – will be paid when: Employer has been approved through Jobs Growth Wales EOI process or a direct progression opportunity; Vacancy has been agreed and advertised on AMS;
Vacancy has a reference number and can be located on AMS
1 £175 Participant start fee – will be paid when:
Health & Safety appraisal of the Employer has been undertaken;
Completed Health & Safety appraisal form;
Employer Application form has been completed
Completed Employer Application form;
Participant has applied through CW system;
Participant application can be traced back to AMS;
Participant Registration form has been completed & uploaded before the Participant has commenced employment;
Completed Participant Registration form including evidence to support WEFO eligibility, see annex A. Participant record has been created on DMS prior to start date;
AMS has been updated to reflect the status of the vacancy;
Status of the vacancy appropriately reflected on AMS;
Schedule for Mentoring has been agreed with Employer and Participant;
Mentoring form has been updated with schedule for mentoring;
Participant timesheets/wage slips have been verified.
Evidence of participant attendance and invoice to Contractor matches timesheet and wage slip;
Copy of the Job Description;
Copy of the signed and dated contract of employment.
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Month Fee Description Evidence Requirements
2 £75 Administration & Mentoring – the payment of £75 will be paid when:
Participant remains in employment;
Participant timesheets/wage slips have been verified;
Monthly mentoring with Employer and Participant has taken place and recorded on Mentoring Form.
Where applicable, early leavers have been recorded on the DMS and their destination reported within 4 weeks of Participant’s leave date.
Evidence of participants attendance whilst on JGW opportunity; Wage slip; Invoice to provider matching timesheet and wage / salary pay slip; Evidence of monthly mentoring having taken place recorded using the JGW mentoring form. Mentoring should include a brief synopsis of the conversation/meeting taken place. JGW Mentoring form to be authenticated by the provider. For Face to Face mentoring, the participant must also authenticate to confirm mentoring taken place.
If early leaver, completed JGW destination form (with supporting evidence) and completed JGW exit interview. Destination on DMS matches the form.
3 £75 Administration & Mentoring – the payment of £75 will be paid when:
Participant remains in employment;
Participant timesheets/wage slips have been verified;
Evidence of participants attendance whilst on JGW opportunity;
Wage slip;
Invoice to provider matching timesheet and wage / salary pay slip;
Evidence of monthly mentoring having taken place recorded using the JGW mentoring form. Mentoring should include a brief synopsis of the conversation/meeting taken place. JGW Mentoring form to be authenticated by the provider. For Face to Face mentoring, the participant must also authenticate to confirm mentoring taken place
If early leaver, completed JGW destination form (with supporting evidence) and completed JGW exit interview. Destination on DMS matches the form.
Monthly mentoring with Employer and Participant has taken place and recorded on Mentoring Form.
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Month Fee Description Evidence Requirements
Where applicable, early leavers have been recorded on the DMS and their destination reported within 4 weeks of Participant’s leave date.
4 £75 Administration & Mentoring – the payment of £75 will be paid when:
Participant remains in employment;
Participant timesheets/wage slips have been verified;
Evidence of participants attendance whilst on JGW opportunity;
Wage slip;
Invoice to provider matching timesheet and wage / salary pay slip;
Monthly mentoring with Employer and Participant has taken place and recorded on Mentoring Form.
Evidence of monthly mentoring having taken place recorded using the JGW mentoring form. Mentoring should include a brief synopsis of the conversation/meeting taken place. JGW Mentoring form to be authenticated by the provider. For Face to Face mentoring, the participant must also authenticate to confirm mentoring taken place.
Where applicable, early leavers have been recorded on the DMS and their destination reported within 4 weeks of Participant’s leave date.
If early leaver, completed JGW destination form (with supporting evidence) and completed JGW exit interview. Destination on DMS matches the form.
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Month Fee Description Evidence Requirements
5 £75 Administration & Mentoring – the payment of £75 will be paid when:
Participant remains in employment;
Participant timesheets/wage slips have been verified;
Evidence of participants attendance whilst on JGW opportunity;
Wage slip;
Invoice to provider matching timesheet and wage / salary pay slip;
Monthly mentoring with Employer and Participant has taken place and recorded on Mentoring Form.
Evidence of monthly mentoring having taken place recorded using the JGW mentoring form. Mentoring should include a brief synopsis of the conversation/meeting taken place. JGW Mentoring form to be authenticated by the provider. For Face to Face mentoring, the participant must also authenticate to confirm mentoring taken place.
Where applicable, early leavers have been recorded on the DMS and their destination reported within 4 weeks of Participant’s leave date.
If early leaver, completed JGW destination form (with supporting evidence) and completed JGW exit interview. Destination on DMS matches the form.
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Month Fee Description Evidence Requirements
6 £75 Administration & Mentoring – the payment of £75 will be paid when:
Participant remains in employment;
Participant timesheets/wage slips have been verified;
Evidence of participants attendance whilst on JGW opportunity;
Wage slip;
Invoice to provider matching timesheet and wage / salary pay slip.
Monthly mentoring with Employer and Participant has taken place and recorded on Mentoring Form.
Evidence of monthly mentoring having taken place recorded using the JGW mentoring form. Mentoring should include a brief synopsis of the conversation / meeting taken place. JGW Mentoring form to be authenticated by the provider. For Face to Face mentoring, the participant must also authenticate to confirm mentoring taken place.
Where applicable, early leavers have been recorded on the DMS and their destination reported no later than 4 weeks of Participant’s leave date;
If early leaver, completed JGW destination form (with supporting evidence) and completed JGW exit interview. Destination on DMS matches the form.
7 £100 Destination fee of £100 will be paid when:
The Contractor must co0mplete the Destination Form for the Participant’s final destination no later than 4 weeks of their Employment end date. The Contractor completes a Destination form for each Participant and uploads the information onto the CRM within 6 weeks of the participant’s end date;
Completed JGW destination form with evidence to support positive destination. Evidence for destination can be: Letter / email from employer Contract of employment Apprenticeship / YRP approval letter. Further education – letter to confirm acceptance on course. Letter / email from lecturer. Wage / salary pay slip for month following the end of the JGW opportunity
Destination on DMS matches the form
P40. The Contractor will be paid in arrears following a monthly claim submission to the Welsh Government via DMS which outlines the costs incurred on a monthly basis. Claims must be submitted to the Data Management System in a timely
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manner and the submission of claims should not exceed 12 weeks after the employment end date. Claims will not be paid after this time.
P41. The claims period will need to align to a Participant’s payment cycle.
P42. If a ‘programme end date’ field is completed on the system, then no claims will be paid that exceed this date.
P43. For payment and assurance purposes, the Contractor must keep a record of all payments made to the Employer, and a record of all payments made to the Participants by the Employer (in the form of certified copies of wage slips, certified bank statements or a P11 including a timesheet for the participant).
P44. Further claim guidance is available as part of the online data management system guidance.
P45. Where a Contractor is found to have supported an ineligible Participant and/or cannot evidence that the Participant is eligible through the Programme, Welsh Government will seek to reclaim payment/s made to the Contractor.
Audit – See Section S Audit
Contract Management
P46. Welsh Government will undertake quarterly contract management reviews.
P47. This will involve reviewing the following:
Performance against profiled allocations (including LIFT vacancies);
Sustainability of opportunities created;
Coverage of job opportunities created across Wales;
Meeting the requirements of the Payment Schedule;
Meeting the requirements of the Welsh Language Policy;
Actions from Monitoring undertaken;
Management of vacancies on AMS;
Timeliness of data;
Management of subcontractors/partners;
Action taken to raise awareness regarding ESF funding;
P48. Welsh Government will review and reallocate unused allocations where necessary on a quarterly basis.
P49. Contractors must contribute to on-going evaluation and review of the JGW Programme.
P50. Where Welsh Government finds that a Contractor has not followed the terms of the Programme Specification, they will seek to reclaim payment/s made to the Contractor.
P51. Welsh Government will take necessary action to reduce the risk to delivery of the Programme where the Contractor is found to be non-compliant.
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Monitoring
P52. The assurance and monitoring work undertaken by PAGS has two purposes, firstly to provide the Deputy Permanent Secretary, in his role as Additional Accounting Officer, with assurance that funds have been used for the purpose for which they were given and secondly to provide assurance to WEFO that the ESF monies have been appropriately spent. This is achieved by monitoring participant and employer records at JGW provider premises on a sample basis ensuring that each payment type and each employer and participant is eligible. Each provider is subject to two annual audits.
P53. Welsh Government reserves the right to freeze contracts where an unsatisfactory audit report has been issued until the Contractor is able to rectify the recommendations noted in the report.
Health and Safety – JGW
P54. WG requires Contractors to appraise their Employers in respect to health and safety, prior to Participants starting in employment. The appraisal process for JGW is to gain appropriate assurance that the Employer will provide a safe working environment for the Participant. Assurance is gained by appraising the Employer in accordance with the Welsh Government Health and Safety code of practice for contracted provision, Section 8 and Annex 1. Please see the link to the Code: [PAGS]
https://beta.gov.wales/health-and-safety-management-code-practice-contracted-provision
P55. There is no requirement for the Contractor to complete a contract with JGW Employers in respect of health and safety. Similarly, there is no requirement to monitor the JGW Employer in respect of health and safety during the 26 week period. Contractors should encourage Participants to remain vigilant and raise any Health & Safety concerns. [PAGS]
P56. If the appraisal undertaken by the Contractor identifies that the Employer does not fully meet its legal requirements, then this should be communicated to the Employer, but no advice should be given as to how the Employer rectifies any omission. The Contractor should refer the Employer to the Health and Safety Executive if advice is needed. [PAGS]
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GENERIC SECTION
Section Q: Health and Safety
Q1. All Contractors funded by the Welsh Government must have in place an effective Health and Safety Management system which, as a minimum, complies with legislation and the requirements set out in the Welsh Government’s Health and Safety Code of Practice for Contracted Provision (Code). If the Welsh Government notifies the Contractor of any amendments to the Code, such amendment shall be deemed to be incorporated in the Code with effect from the date of notification.
The Health and Safety Code of Practice is available at https://beta.gov.wales/health-and-safety-management-code-practice-contracted-provision
Q2. The Contractor’s health and safety management system must cover all its undertaking including (where appropriate) sub-Contractor provision.
Q3. The Contractor must undertake an audit of its health and safety management system and produce a report at least annually.
Q4. The Contractor must report to the Welsh Government and investigate all relevant Learner accidents, diseases and dangerous occurrences within stipulated time-scales on documentation as detailed within the Code.
Guidance on the incidents that should be reported to the Welsh Government and how to report them is available at https://beta.gov.wales/accident-and-disease-recording-and-reporting-guidance-work-based-learning-providers
Q5. For specific requirements of the Contractor when delivering the JGW Programme, see section P above.
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Section R: Data and Payment Conditions
R1. All documentation must comply with European funding requirements (including publicity requirements) as set out in this Programme Specification and the European Funding Manual.
R2. The Contractor must submit information, at least monthly, on all Learners, their learning programmes, learning activities and awards by means of the Lifelong Learning Wales Record (LLWR), using the on-line data collection system and submit information for Jobs Growth Wales participants to the Jobs Growth Wales CRM system.
The Lifelong Learning Wales Record (LLWR)
R3. All Learner information for Apprenticeships and Traineeships specified in the LLWR User Support Manual is to be submitted electronically to the Welsh Government via the LLWR using the on-line data collection system. Particular attention must be given to the LLWR User Support Manual, which sets out requirements relating to data protection.
Lifelong Learning Wales Record User Support Manual is available at:
http://gov.wales/topics/educationandskills/learningproviders/datacollection/?lang=en
Additional Guidance
For payment purposes it is necessary that data be submitted at least monthly and accompanied by a verification form issued by the Welsh Government. A copy of the Provider Verification Form guidance and template spreadsheet can be found at:
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/wbl-learning-provider-verification/?lang=en&asd
R4. The Contractor must, within the LLWR, identify all Contractors delivering learning activities on its behalf. This includes, but is not restricted to, sub-Contractors and consortium members.
Additional Guidance
Contractors are required to identify all other organisations which are delivering learning on their behalf. This would include sub-contractors and consortium partners but would also include any providers who are delivering learning activities. Where more than one provider is delivering a learning activity, the Contractor delivering the greatest proportion of the learning activity should be identified within the LLWR. Information on the relevant LLWR fields is given within the “Data Submission Guidance for Work Based Learning”.
R5. In addition to the requirements above, the Contractor must put in place an effective system of internal control to ensure:
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i. the terms and conditions set out in this Programme Specification are met before recording a Learner as starting on a programme via the LLWR;
ii. the terms and conditions set out in this Programme Specification in respect of recording Learner absence, suspension or leaving a programme are complied with and such matters are correctly and accurately recorded via the LLWR, on a timely basis and certainly no more than a month after this occurs; and
iii. the terms and conditions set out in this Programme Specification and supporting guidance in respect of recording Learner outcomes are satisfied prior to recording a Learner outcome in the LLWR. [PAGS]
iv. all data submitted to the LLWR is complete, accurate and timely. Therefore, the following LLWR data submission and reconciliation guidance must be followed:
LLWR Manual Data Submission Guidance
Provider Verification guidance
LLWR Data Reconciliation guidance (Please note that this document is available from LLWR-Inform (accessed through the Education Portal Service) and requires a user account to log in)
R6. Should significant problems be identified during either this process or through audit visits, the Welsh Government may require a Contractor to submit copies of documentation to support the LLWR data before payment is released. The Welsh Government may also withhold any future payments pending the submission of satisfactory supporting documents.
Overlaps
R7. Where a Learner is recorded on the LLWR as being with more than one Contractor at the same time, this will cause an overlap in learning which will result in the following:
all funding for the learning delivery via the WBL programme by the first Contractor will be recovered from the beginning of the Programme Commission year (where applicable). This will be re-funded, if applicable, once the overlap has been corrected, providing it is still within the contract year. No funding will be paid to the second Contractor; and
funding relating to the learning programme(s) will not be made to any of the Contractors concerned until the overlap is resolved.
Additional Guidance
To resolve overlaps:
Contractor(s) should check LLWR-Inform each month and access information on the monthly fundable overview report which will provide the
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following information: Contractors involved in the overlap; Learning programme (Traineeships, Apprenticeships etc.) and conflicting Start/End dates;
Contractors should liaise and agree a course of action that resolves the overlap. This usually involves amending start and/ or end dates. The Contractor should ensure that any revised date is evidenced;
Contractors are reminded that termination dates recorded must be accurate and evidenced by supporting evidence;
Contractors are also reminded that a key eligibility requirement is confirmation that the Learner is not already taking part in any other employment, learning or enterprise programme funded directly by the UK Government or the Welsh Ministers;
Contractors should, wherever possible, resolve the overlap directly with the other Contractor. It is expected that the Welsh Government will only intervene as a last resort at the request of the Contractor(s) concerned;
If the Welsh Government is required to intervene, please refer to [email protected]. Resolution will involve referral to PAGS, Learning Provision, Quality and LLWR teams;
Based on the information/data gathered, a decision will be made as the most appropriate course of action required to resolve the external overlap. The Contractor(s) be required to implement the action stipulated. This is likely to be the amendment of start/end dates, or any other course of action that can be reasonably requested to resolve the overlap; and,
Failure to resolve and implement any recommendations made by Welsh Government by month 16 of the contract year will result in a loss of funding for all parties involved.
Payment Conditions
R8. Programme delivery for Apprenticeships and Traineeships will be funded monthly and will be determined using data recorded via the LLWR on-line data collection system.
R9. Payments will only be made for learning activities delivered in line with the provider’s Financial Schedule. Following verification of data, payments will be made retrospectively in relation to the recruitment of, the level of progress and achievement of each Learner against his/her programme of learning.
R10. Provided that the Contractor satisfies all relevant payment conditions, including evidence requirements, the Welsh Government will pay the Contractor no later than the 24th day of the calendar month that follows the data freeze date, for the cumulatively profiled activity. Payment is subject to the maximum stated in the Finance Schedules of the Programme Commission, as may be amended from time to time in accordance with the Agreement and notified reviews. Any net payment due will be paid electronically.
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R11. The Contractor shall record all Learner Awards in the LLWR but (subject to the Agreement) will be paid only for those which are achieved within seven months of the actual leaving date of learning and which are eligible for WBL funding. For the 2016/17 contract year, the Contractor shall record all Learner Awards in the LLWR but (subject to the Agreement) will be paid only for those which are achieved within six months of the actual leaving date of learning and which are
eligible for WBL funding. [PAGS]
Change of Bank Details
R12. Where a Contractor wishes to notify the Welsh Government of a change of bank details, the Contractor should send this information to the following email address:
R13. When submitting these details, the Contractor should quote its G1 number. This number is contained at the top left hand corner of the Contractor’s remittance advice slips (e.g. G1/Sxxxxxxx).
Evidence Requirements (Jobs Growth Wales only)
JGW Data Submission and Payment Conditions
R14. If the Contractor is delivering JGW it will need to submit data to Welsh Government via a secure online collection system – currently the JGW Data Management system. This submission forms the basis of the Contractor’s claim for payment for its JGW delivery. Requirements are set out in more detail in Sections N, O and P of this Programme Specification.
R15. Jobs Growth Wales Live User Manual is available at:
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/?lang=en
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Section S: Audit
Introduction
S1. Contractors must put in place internal control systems to ensure that the data submitted to the LLWR are:
i. accurate; ii. compliant with the terms and conditions of funding set out in this
Programme Specification and supporting guidance documents; and iii. supported by the documentary evidence which is required by the terms
and conditions of funding which is maintained as part of a clear audit trail.
S2. All Contractors with Programme Commissions will be subject to audit by the Provider Assurance and Governance Service (PAGS).
S3. Where PAGS identifies significant weaknesses in the control environment, PAGS reserves the right to require the Contractor to appoint and finance an external auditor. The external auditor must be a registered auditor. The external auditor will be required to perform testing in line with the Welsh European Funding Office (WEFO) audit certification instruction guidance for the 2014-20 Structural Fund Programmes.
S4. Where Contractors are required to appoint and fund an external audit due to significant issues being identified, PAGS will require access to the external auditor to:
i. establish scope and objectives of the work; ii. obtain assurance on the quality and consistency of work being
undertaken; and iii. obtain assurance on the adequacy of report findings.
Non-Compliance
S5. Where non-compliance with payment conditions is identified, sums paid to the Contractor may be recovered, without prejudice to any other rights and remedies available to the Welsh Ministers.
S6. Where the non-compliance is found to be material, or of a systemic nature, in addition to the foregoing, the Contractor may be required to undertake a ‘self audit’ to establish the full extent of non-compliance and any recovery due. PAGS will review and test the findings of the self-audit.
Other Auditors
S7. In addition to PAGS, Contractors will be subject to audit reviews conducted by the following:
i. the Wales Audit Office; ii. the Welsh Government’s internal audit service; iii. the Welsh European Funding Office; iv. the European Court of Auditors; v. the European Commission; and
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vi. other external auditors as deemed appropriate and notified in writing by the Welsh Ministers.
S8. The contractor must ensure that records requested for audit are provided to Welsh Government in no more than 5 working days following the request. The contractor should ensure that their records management arrangements are sufficiently robust to be able to submit the selected records to Welsh Government within this timescale.
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Section T: Education for Sustainable Development and Global Citizenship
T1. The Contractor must have a documented strategy for Education for Sustainable Development and Global Citizenship (ESDGC), encompassing the key areas of:
i. commitment and leadership; ii. organisational management; iii. teaching and learning; iv. communities and partnerships.
T2. The ESDGC strategy must reflect the guidance set out in the WG’s publication “Education for Sustainable Development and Global Citizenship: A self-assessment toolkit for WBL Providers” and incorporate an action plan, including specific objectives, targets and priorities for ESDGC, which is reviewed on at least an annual basis as part of the Contractor’s self-assessment cycle. The Contractor must nominate a member of staff who is responsible for co-ordinating and monitoring its ESDGC strategy, and whose job description reflects this role. More information can be found at:
http://gov.wales/topics/educationandskills/allsectorpolicies/europeanandinternational/sustainabledevelop/?lang=en
T3. See also Section 3 European Funding Compliance Guidance G. Cross Cutting Themes.
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Section U: Quality Assurance and Continuous Improvement
U1. The Contractor must have in place its own systems to manage the quality of learning and to ensure the achievement and maintenance of high standards.
U2. The Contractor must undertake an annual self-assessment, based on guidance published by the Welsh Government and Her Majesty’s Inspectorate of Education and Training in Wales (Estyn). The resulting self-assessment report and quality development plan must be submitted to the Welsh Government at a date to be agreed between the Contractor and the Welsh Government, reflecting the individual Contractor’s annual quality cycle. Submissions must be made using systems specified by the Welsh Government.
U3. Progress against actions identified in the quality development plan must be reviewed on a regular basis, and the outcomes of the review documented by the Contractor. This documentation, together with supporting evidence of actions taken, must be made available to the Welsh Government and Estyn on request.
U4. The Contractor must use mechanisms and reports provided by the Welsh Government to reconcile learner outcomes data submitted to the LLWR against its own management information; this should be undertaken on a monthly basis. The Contractor is responsible for ensuring the timely recording of Learner outcomes, that data submitted to the Welsh Government is complete and accurate, and that prompt action is taken to address any inaccuracies. Statistics derived from the LLWR will be used to produce summary reports on the Contractor’s learner outcomes, which will be published by the Welsh Government.
Inspection
U5. Estyn has a statutory duty to inspect education and training in Wales. The Contractor must co-operate fully with inspectors to enable them to complete this duty.
U6. The Contractor shall allow the Welsh Government to give Estyn such information concerning the activities and performance under the Agreement and Programme Commission and any previous similar contracts with the Welsh Government (or its predecessor funding bodies) as inspectors may request to enable them to undertake effective inspections of the Contractor’s operations. This includes statistics and benchmarks derived from LLWR returns submitted by the Contractor and the Contractor’s most recent self-assessment report and quality development plan.
U7. Following inspection by Estyn, the Contractor must present an action plan showing how inspectors’ recommendations will be addressed.
Responsiveness
U8. The Welsh Government aims to ensure that the education and training system is responsive to the views of citizens and businesses, and that learners’ needs are central to the planning and delivery of learning. The Contractor must therefore:
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i. ensure that systems are in place to undertake learner and employer surveys and to follow up and address feedback identified through the surveys;
ii. administer follow-up surveys for learners who leave without completing their learning programme, to identify their reasons for leaving and their destinations;
iii. gather regular feedback from employers on the effectiveness of the Contractor and the quality of the learning delivered;
iv. have in place arrangements for senior managers and, where applicable, governors to consider and respond to issues raised by both learners and employers;
v. have a formal Learner Involvement Strategy, based on guidance published by the Welsh Government;
vi. have a formal procedure for dealing with complaints from learners, employers and other third parties; and
vii. ensure that the outcomes of all of the above systems are incorporated into the annual self-assessment cycle and used to inform continuous improvements in quality and standards.
Performance standards
U9. The Contractor must attain, as a minimum, a judgement of at least ‘adequate and needs improvement’’ in all key questions following inspection by Estyn or Ofsted. Where shortcomings are identified through either inspection or the Welsh Government’s annual Learner Outcomes Reports, including inspection judgements of either ‘unsatisfactory and needs urgent improvement’ or ‘adequate and needs improvement’, the Contractor must put in place a detailed action plan with specific objectives and targets to address these shortcomings. The implementation of the action plan will be monitored over the period up to re-inspection and/or Agreement and Programme Commission review.
U10. The Welsh Government will operate an escalation procedure which will be instigated when the Contractor demonstrates serious and persistent failings in quality. Without prejudice to any other rights or remedies available to them, the Welsh Ministers will take steps to terminate the Agreement and Programme Commission as a whole or in part, or to reduce volumes and activities provided for in the Programme Commission, as outlined in clause 1.1.12 of the Agreement, Schedule 1. .
Securing continuous improvement
U11. The Contractor must participate, as appropriate, in quality improvement initiatives instigated by the Welsh Government and its partner organisations. This includes, but is not limited to, quality support networks, workshops and improvement projects funded through the Investing in Quality Programme.
U12. As a minimum, the Contractor must:
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i. participate in benchmarking programmes initiated by the Welsh Government;
ii. accept remedial support which is made available by the Welsh Government to address specific shortcomings, including those identified through Estyn inspections;
iii. agree to share best practice through networks, events, research, case studies and publications for the WBL network in Wales; and
iv. participate in any evaluation commissioned by the Welsh Government.
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Section V: Welsh Language Policy
V1. Contractors must promote the objectives of the Welsh-medium Education Strategy, published in April 2010, i.e., supporting the development of the Welsh language as a skill in the workplace and the take up of Welsh language and bilingual training within the WBL sector.
Additional Guidance
The Welsh Government’s Welsh language strategy;’ A living language: a language for living’ sets our Government’s vision to see the Welsh language thriving in Wales. To achieve this, the strategy aims to see an increase in the number of people who both speak and use the language.
A copy of the Strategy can be found at:
http://gov.wales/topics/welshlanguage/publications/wlstrategy2012/?lang=en
A living language: a language for living is supported by the Welsh-medium Education Strategy which sets out the ambition of the Welsh Government for a country where Welsh-medium education and training are integral parts of the education infrastructure. Implementing the Strategy ensures that our education system makes it possible for more learners of all ages to acquire a wider range of language skills in Welsh. This will enable learners to use the language in their personal lives, socially and in the workplace.
A copy of the Strategy can be found at:
http://gov.wales/topics/educationandskills/publications/guidance/welshmededstrat/?lang=en
The strategy includes specific targets for developing Welsh-medium and bilingual learning within work-based learning (WBL) and includes specific objectives to improve and expand the opportunities for learning, assessing and improving Welsh-language skills in the workplace.
V2. The Contractor is required to have an up to date Welsh language policy in place and will be required to comply with the Welsh Government’s Welsh language policy (Iaith Fyw, Iaith Byw) as stated in the Agreement. The Welsh language policy must show the Contractor’s commitment to promoting the Welsh language and culture, and developing learning provision through the medium of Welsh.
Additional Guidance
All Contractors are expected to have a Welsh language policy and action plan which shows their commitment to promoting the Welsh language and culture, and clear objectives and targets for developing Welsh-medium provision. The action plan should be completed by the Lead Provider and consider all sub-contractors and consortia members.
V3. As a minimum, the policy must include:
i. clear targets for the implementation of bilingual promotion (marketing materials) and, where appropriate arrangements for promoting the Contractor’s Welsh-medium or bilingual provision;
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ii. organisational targets for the delivery of Welsh medium, or bilingual, learning which reflects the needs of the area in which the Contractor delivers these programmes;
iii. arrangements for the recording of Learners’ Welsh language skills and their achievements on programmes delivered through the medium of Welsh;
iv. arrangements for the recruitment and/or the development of staff to deliver through the medium of Welsh;
v. partnership arrangements with other Contractors, and employers, to support Learners who wish to learn through the medium of Welsh; and
vi. objectives for the development of Welsh medium and bilingual learning activities and resources in support of provision. [PAGS]
V4. The Contractor must discuss the requirement for learning through the medium of Welsh with all Learners and specify on the individual’s learning plan:
The preferred language of learning and requirement for Welsh-medium or bilingual delivery of learning during the programme; and
The opportunities to maintain and/or develop the Learner’s Welsh language skills during the learning period.
V5. The Contractor must ensure the recording of accurate data on the LLWR for learning activity undertaken bilingually or through the medium of Welsh. Through its self-assessment, the Contractor should analyse information on Learners’ Welsh language skills and monitor the take-up of Welsh-medium, or bilingual, provision.
Additional Guidance
Contractors must take steps to ensure the accuracy of the data recorded on the LLWR with regard to Welsh-medium and bilingual learning activities. The key fields are:
LA23: Ability to speak Welsh;
LA26: Type of Welsh medium learning;
LP67: Highest level Welsh qualification obtained;
V6. Contractors must demonstrate their commitment and ability to develop and deliver services in support of the Welsh Government’s Welsh-medium Education Strategy. Contractors must have an annually updated action plan in place. The action plan must be in place for the start of the Agreement and will show how the Contractor aims to increase the amount of learning delivered either through the medium of Welsh and/or bilingually during the Agreement period.
The action plans must include:
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A plan to ensure the availability of Welsh-medium staff and assessors to deliver learning through the medium of Welsh, including through collaborative delivery with other Contractors where appropriate;
An evaluation of current delivery (including actual delivery figures) and targets for increasing delivery for each year of the contract period;
An analysis of demand, based on Learners’ prior attainment through the medium of Welsh, feedback from employers, and analysis of the number of Learners from Welsh-medium schools;
Actions to mitigate any current limiting factors for Welsh-medium delivery;
List of actions that will be taken to ensure that the targets are met and how the Contractor will develop the Welsh-medium provision; and
Actions to be taken to ensure an increase in Welsh-medium learning in priority sectors which include: healthcare, childcare, agriculture, tourism and leisure etc.
V7. From August 2016 the monitoring of progress against targets set within the Welsh language action plans are required to be integrated into SARs and QDP process. Providers are required to set new targets and report on progress and actions as part of the SAR. Returns should be submitted annually as part of the SAR and QDP. Please refer o SAR Guidance at http://gov.wales/topics/educationandskills/learningproviders/raisingqualityandstandards/qualityimprovement/assessment/?lang=en
Marketing and Communications
V8. There are two guiding principles to the Welsh Language Measure, and the way the Welsh Government contractors should be providing their services.
The Welsh Language should be treated no less favourably than the English Language.
People living in Wales should be able to lives through the medium of Welsh if they choose to do so.
V9. To ensure promotion of the Welsh language and facilitate its use, Contractors must ensure compliance with the Welsh Government’s Welsh Language Marketing Guidelines. For further information, please email [email protected].
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Section W: Equality and Diversity
W1. The Contractor must ensure that its duties in the Agreement towards current and potential Learners are implemented consistently and effectively. The Contractor must demonstrate that it has formal policies and procedures in place to secure equality of opportunity for current and prospective Learners, irrespective of disability, gender, race, age, religion/belief or non belief or sexual orientation, and that it takes appropriate action to tackle discriminatory behaviour by Learners, staff or managers.
W2. Equality and diversity is an ongoing priority for Welsh Ministers. Providers must:
i. Ensure they take action to tackle any barriers to apprenticeships arising from difficulties experienced by under-represented groups. We require providers to support employers to adopt best practice when recruiting apprentices and supporting under-represented individuals throughout their apprenticeship.
ii. Be aware that gender-stereotyping is a specific area for development, particularly around STEM related occupations. Where a learner is undertaking an apprenticeship in a gender atypical sector/occupation (e.g. a female undertaking a construction apprenticeship) providers should provide extra support/mentoring where necessary.
W3. The Contractor must have a formal equal opportunities strategy, including as a minimum:
i. A policy to ensure compliance with equalities legislation, including the Equality Act 2010, in line with guidance issued by the WG;
ii. Clear guidelines to sub-Contractors, to staff and to Learners on their responsibilities in respect of equality and diversity;
iii. Appropriate training for staff on their equality duties, the Contractor’s own policies and where to access advice and best practice;
iv. Where necessary, support for its employers to promote equality of opportunity, including sharing good practice; and
v. Arrangements for monitoring participation and attainment by age, gender, ethnicity and disability status, including data and analysis from referral agencies and benchmarking participation rates against local and national averages; and taking positive action to improve participation and attainment by under-represented groups.
W4. The Contractor must undertake a formal review of its equal opportunities strategy annually, and must use its own data and annual self-assessment to evaluate its effectiveness in implementing the strategy. The WG will use LLWR data and other evidence, including self-assessment reports, to monitor participation rates and to evaluate action taken by Contractors to secure equality of opportunity.
W5. The Contractor, including its sub-Contractors and/or members of its consortium, must have arrangements in place to address issues of bullying, discrimination, victimisation or harassment for both Learners and staff. Arrangements will
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include procedures for investigating complaints about bullying or harassment (linked to the Contractor’s overall complaints procedure); support and advice for Learners and/or staff members who are involved in investigations; and appropriate guidance and training. Learners and staff must be made aware of expectations in relation to bullying and harassment as part of induction. The policy must make it clear that bullying or harassment on the grounds of disability, gender, race, age, religion, sexual orientation or any other form of difference will not be tolerated.
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Section X: Marketing and Communications
X1. The Contractor must ensure that any marketing and communications activity undertaken in relation to WBL by itself, consortium members or sub-Contractors, underpins and does not contradict the Welsh Government’s learning and skills marketing and communications.
X2. The Contractor will be required to participate in collaborative marketing activities and national campaigns (e.g. Apprenticeship Week, Apprenticeship Awards), Ministerial visits, Events (e.g. SkillsCymru), Equality and Diversity initiatives, and Press and Publicity as determined by the Welsh Ministers.
X3. The Contractor shall have an annual marketing and communications plan. This plan shall be shared with the Welsh Government and align to the contractor’s business need and be inclusive of activities contained within the Welsh Government’s annual plan. It should be a detailed account of all elements of marketing and communications and include:
the activities you intend to undertake
who you will be targeting with the publicity
when you intend to carry out each publicity activity
the budget available for each activity
the expected outcomes.
X4. The Contractor shall evaluate its marketing and communication activities and copy the evaluation to Welsh Government Marketing. The Communications and Marketing plan should be reviewed on a termly basis and the Welsh Government’s learning and skills marketing and communications team should be informed of any change.
Providing evidence of marketing and publicity
X5. During the monitoring of your project, Welsh Government will make regular checks of the publicity and promotional materials organisations are producing and may ask you to send samples of these.
X6. The Contractor is required to:
Provide a named contact responsible for managing communications, publicity and marketing for the contract.
Send drafts and briefings of your marketing and publicity materials before publishing (this will prevent errors that may result in publicity needing to be withdrawn or reissued).
Provide evidence of all press and social media coverage achieved and copies of releases.
Branding
X7. Providers and sub-contractors must publicise funding from the Welsh Government and the European Social Fund
X8. All marketing and communications activity must be in line with the Welsh Government’s Marketing and Style Guides current at the time. For further information, please email: [email protected]
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X9. With regards to ESF acknowledgment in marketing and communications materials please refer to the branding guidelines here: http://gov.wales/funding/eu-funds/2014-2020/delivering-your-project/publicity
X10. The consequences of non-compliance are potentially serious and could lead to a reduction of the funding paid to each project. Furthermore, the ESF managing authority will audit the communications within each project, so it is important that projects not only meet the requirements set out here but also retain verifiable evidence that communication activities and publicity materials are fully compliant with ESF branding guidelines.
Additional Guidance
X11. Any queries on branding should be referred as follows:
queries or requests related to the Welsh Government logo should be emailed to [email protected]
queries or requests related to the ESF logo should be emailed to [email protected]
X12. Contactors must comply with Welsh Language Marketing Guide.
Press Releases
X13. Welsh Government requires the contractor to supply a minimum of four case study leads per campaign and on request to support ongoing Programme and ministerial requirements. These may be per region, sector, audience (e.g. young people, employers, adults) to support Welsh Government priorities such as equality and diversity. These case studies will be used in national campaigns and other marketing and communications activity. When possible, the Welsh Government will advise contractors of how each case study had been used.
X14. The Contractor shall be responsible for marketing WBL provision, ensuring that all marketing and communications activity is in line with the Welsh Government’s Marketing and Style Guides current at the time. For further information email: [email protected]; NB: queries or requests related to the Welsh Government logo should be emailed to [email protected];
X15. All press releases must acknowledge the Welsh Government and European Social Fund and must be forwarded to the Welsh Government Press Office Communications team for information purposes via [email protected]
X16. With regards to ESF acknowledgment in marketing and communications materials please refer to the branding guidelines here: http://gov.wales/funding/eu-funds/2014-2020/delivering-your-project/publicity. NB: queries or requests related to the ESF logo should be emailed to [email protected]
X17. Should the Contractor or consortium members or sub-Contractors be asked to comment on any aspect of WBL to any of the media, the Welsh Government Press Office/Communications must be informed via [email protected] before making any comment.
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Consent forms
X18. It is essential that you receive full and formal consent of everyone featured in a story, photograph, case study, news item or other feature. They must understand what giving consent means.
Data protection/ (from 25 May 2018) General Data Protection Regulations
X19. The GDPR/ Data Protection Act requires that the person knows:
who you are
what their information or photo will be used for
who else it may be given to
provided the opportunity to give consent
X20. The best way to meet these requirements is to ask them to complete a consent form and to clear the proposed material with them before it’s published for the first time. Your manager or marketing or communications colleagues may have a consent form you can use.
X21. If children are featured, you must have written consent from their parent or legal guardian.
X22. You should ensure your colleagues responsible for marketing, legal and data protection issues are content with your arrangements for confirming consent.
Customer Surveys and Evaluation
X23. The Contractor must participate in customer surveys and evaluation activities as required from time to time by the Welsh Government.
Vacancies Database
X24. The Contractor shall be responsible for inputting vacancies on the vacancy database held by Careers Wales and will be required to maintain the accuracy of this information during the lifespan of the contract. This is applicable for all programmes.
Courses in Wales/ Course Database
X25. The Contractor shall be responsible for inputting all its WBL provision on the Courses in Wales (Course Database) system and will be required to maintain the accuracy of this information during the lifespan of this Agreement. Please see website at: http://www2.careerswales.com/coursesinwales/default.asp
X26. Courses in Wales is a web enabled search facility that provides information on post-16 learning opportunities. The search facility is accessed by advisers, individuals and businesses via the Career Choices Dewis Gyrfa website and provides visitors with specific information on the variety of opportunities to train and learn in Wales.
X27. For further information on how to access the search facility, please view “Courses in Wales” on the 'Career Choices Dewis Gyrfa' website.
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X28. Contractors who have a contract to deliver WBL programmes are required to manage their own provision details. Contractors can do this by accessing the Data Entry Manager section of “Courses in Wales” on the 'Career Choices Dewis Gyrfa' website in order to add, edit or delete provision details. This is a straightforward process.
X29. Once you have input your training courses, they will be checked by Career Choices Dewis Gyrfa and will be available for the general public to access within five working days.
X30. Courses in Wales is developed and maintained by Career Choices Dewis Gyrfa. It is important that your training course information is included within “Courses in Wales” in order to provide a comprehensive database of all training and learning opportunities across Wales.
X31. Should you require further information or assistance please email [email protected]
X32. Contractors must establish and maintain contact with the appropriate Courses in Wales co-ordinator in Career Choices Dewis Gyrfa.
Skills Competitions
X33. Contractors are encouraged to participate in skills competitions, such as World Skills.
X34. Such competitions are highly effective as a promotional tool to capture the attention of individuals and employers and motivate them to engage in vocational training.
X35. These events showcase excellence in vocational disciplines and inspire others as to the value of a vocational career. Skills competitions also encourage those already following a vocational path to achieve their full potential. Promoting skills competitions helps to target:
young people at a cross-roads in deciding whether to take a vocational or academic career path in post-16 education and training;
apprentices and would-be apprentices to realise their full potential;
school-age children to see just what can be achieved by apprentices; and
those not in employment, education or training (NEETS) to consider vocational careers and realise their potential.
Celebrating Success
X36. Welsh Ministers believe that success and achievement should be celebrated. Contractors must, at least annually, hold an appropriate graduation ceremony for Apprentices and it is suggested that similar ceremonies are held for other Learners and Participants. These ceremonies must be communicated to the communications and marketing team a month prior to them taking place
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X37. Graduation ceremonies should be memorable occasions to recognise the success and achievement of Learners. Therefore, ceremonies should be seen as important events. To make it an occasion, a Contractor may hold a ceremony on an individual provider basis, a consortium basis or on a regional basis.
X38. Graduation Ceremonies also present a great opportunity to confirm to employers how successful their apprentices have been for their business. Ceremonies provide deserved recognition to learners, employers and trainers; they esteem vocational achievement which will support the parity of vocational achievement with academic achievement.
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Section Y: Leading a Consortium
Y1. For the purposes of this Programme Specification, the Contractor is deemed to lead the consortium. It is able to ‘sub-let’ the delivery of its Programme Commission to its consortium members.
Y2. Responsibility for compliance with the Agreement and Programme Specification will be with the Contractor. Operating as a consortium will not relieve the Contractor from any of the obligations contained in the Agreement, Programme Commission and Programme Specification.
Y3. The Contractor will need to satisfy the Welsh Ministers that it has appropriate systems and procedures in place to assess and manage the risk of using consortium members for any aspect of programme delivery. The Contractor must undertake appropriate risk assessments.
Y4. The Contractor must ensure that its agreement with each consortium member replicates the requirements of the Contractor’s own Agreement and Programme Commission with the Welsh Ministers. As a minimum, the Contractor’s agreement with each consortium member must also specify:
i. the programme delivery for which each consortium member is responsible;
ii. arrangements for quality assurance and performance monitoring, including integration of each consortium member’s activities into the Contractor’s annual self-assessment cycle;
iii. performance targets, including success and/or progression rates, in line with the Welsh Ministers’ targets for WBL outcomes;
iv. requirements to comply with the Learning and Skills Act 2000 (as amended) so far as applicable, the Apprenticeship, Skills, Children and Learning Act 2009, and all other relevant statutory obligations, including, but not limited to, those relating to Health and Safety; Equality Duty; the NMW; Disability Discrimination; the Welsh Language, data protection and the Protection of Children and Vulnerable Adults;
v. health and safety requirements;
vi. arrangements for the submission of accurate and timely data to the Contractor on Learners, and other evidence required for the Contractor to fulfil its Agreement and Programme Commission obligations;
vii. access to Learner records for the purposes of audit, and to reports from external bodies (such as external verification reports from awarding organisations);
viii. management and audit processes to ensure that each consortium member complies fully with its obligations; and
ix. that processes are in place to monitor the financial health of each consortium member.
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Y5. The Contractor must ensure that relevant information is communicated to each consortium member, including any changes to programme requirements or new policy directives from the Welsh Ministers relevant to WBL delivery.
Y6. The Contractor must take action in the event of underperformance of any consortium member, and must have procedures in place to investigate complaints about consortium members from Learners, employers or other third parties.
Y7. In the event of consortium member failure (for any reason) or withdrawal, the Contractor is responsible for ensuring that Learners complete their programmes and the Contractor must have contingency plans in place to ensure the continuity of learning.
Y8. The Contractor must maintain a list of all its consortium members and other deliverers of learning activities; it shall make this available to the Welsh Government on request. It shall record consortium members appropriately on the LLWR using the relevant fields (see data submission guidance).
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Section Z: Sub-Contracting
Z1. For the purposes of this Programme Specification, ‘sub-contracting’ denotes sub-contracting of delivery of a full learning programme or programmes to a third party. This section applies to any direct or indirect sub-contracting arrangement.
Additional Guidance
The link to the best practice guide for sub-contracting is at:
http://learning.gov.wales/docs/learningwales/publications/120924-sub-contracting-en.pdf
Z2. Sub-contracting will not relieve the Contractor from any of the obligations contained in the Agreement or Programme Commission.
Z3. A sub-Contractor to a Contractor may sub-contract to another person or party; such sub-contract will not relieve the Contractor from any of the obligations contained in the Agreement and Programme Commission.
Z4. Prior to entering into any sub-contract for the delivery of any Programme the Contractor must first satisfy the Welsh Ministers that it has appropriate systems and procedures in place to assess and manage the risk of using any sub-Contractors for delivery of any Programme or part thereof that the Contractor is required to provide to the Welsh Ministers under the Agreement. The Contractor must undertake a risk assessment when considering whether to sub-contract.
Z5. The Contractor must ensure that its relationship with each sub-Contractor is formalised through a written contract which replicates the requirements of the Contractor’s own Agreement and Programme Commission with the Welsh Ministers. As a minimum, the Contractors agreement with each sub Contractor must also specify:
i. the programme delivery for which the sub-Contractor is responsible; ii. arrangements for quality assurance and performance monitoring, including
integration of sub-contracted activities into the Contractor’s annual self-assessment cycle;
iii. performance targets, including success and/or progression rates, in line with the Welsh Ministers’ targets for WBL outcomes;
iv. requirements to comply with the Learning and Skills Act 2000 (as amended) so far as applicable, the Apprenticeship, Skills, Children and Learning Act 2009, and all other relevant statutory obligations, including, but not limited to, those relating to Health and Safety; Equal Opportunities; the NMW; Disability Discrimination; the Welsh Language, Data Protection and the Protection of Children and Vulnerable Adults;
v. health and safety requirements; vi. arrangements for the submission of accurate and timely data to the
Contractor on Learners, and other evidence required for the Contractor to fulfil its Agreement and Programme Commission obligations;
vii. access to Learner records for the purposes of audit, and to reports from external bodies (such as external verification reports from awarding organisations);
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viii. management and audit processes to ensure that the sub-Contractor complies fully with its contract, including a schedule of regular monitoring meetings between named contacts at the Contractor and sub-Contractor; and
ix. that processes are in place to monitor the financial health of sub-Contractors.
Z6. The Contractor must ensure that relevant information is communicated to sub-Contractors, including any changes to programme requirements or new policy directives from the Welsh Ministers relevant to WBL delivery.
Z7. The Contractor must take action in the event of underperformance by sub-Contractors, and must have procedures in place to investigate complaints about sub-Contractors from Learners, employers or other third parties.
Z8. In the event of sub-Contractor failure (for any reason) or withdrawal, the Contractor is responsible for ensuring that Learners complete their programmes and must have contingency plans in place to ensure the continuity of learning.
Z9. The Contractor shall maintain a list of all its sub-Contractors and other deliverers of learning activities; it shall make this information available to the Welsh Government on request. It shall record sub-Contractors and other deliverers of learning activities on the LLWR using appropriate fields as required in the data submission guidance.
Z10. Where the Contractor has arranged for a third party to deliver parts of the learning process (such as technical knowledge or Essential Skills activities) this is not within the formal definition of ‘sub-contracting’, but the Contractor must ensure that these arrangements are defined and monitored through a formal agreement which specifies the third party’s responsibilities.
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Section AA: Eligibility for Welsh Government Funding and ESF Support
WEFO Eligibility Guidance
AA1. The WEFO Eligibility Guidance, published in January 2016, sets out the process to follow when assessing learner suitability and eligibility and lists the documents that WEFO will accept as evidence of eligibility. It also sets out guidance to help follow the process effectively and economically. Contractors for work based learning must follow this guidance and must apply the refinements described below.
AA2. This guidance supersedes the WBL Eligibility Q&A for new learners and should be used in conjunction with the WEFO Eligibility Requirements which can be found at:
http://gov.wales/funding/eu-funds/2014-2020/looking/eligibility/?lang=en
AA3. This section explains how suitability and eligibility for funding works. Contractors must also ensure that their learners meet the eligibility requirements in framework guidance.
Suitability
AA4. The Guidance makes assessing the suitability of a learner the first step; Contractors must ensure that each learner has a programme that satisfies Part 1 paragraph 1 of the WEFO Guidance.
AA5. The information collected through the processes for referral, initial assessment, WEST and completion of an ILP should ensure that there is sufficient evidence of suitability. This information must be available for audit along with the evidence on eligibility.
AA6. Learners must meet the entry requirements set out in framework guidance from the Sector Skills Council or other designated Issuing Authorities.
Eligibility
AA7. The specification for each programme sets out eligibility criteria which determine whether participants (learners) may take part in the programme. They also set out criteria which will make participants ineligible. In summary, the eligibility criteria are:
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Criterion Evidence must demonstrate
Apprenticeships Traineeships Jobs Growth Wales LLWR field (Apprenticeship and Traineeship programmes only)
C1 Right to live and work in the UK
-
C2 Highest qualification (< level 3) - LP22
C3 Employment status (employed, self-employed)
(non-employed) (non-employed) LP11
C4 Age (< 19) (16 – 24) LN15
C5 Location of employment (“employer address”)
(in Wales) - - LP13
C6 Address where ordinarily resident (“home address”)
(in Wales) (in Wales) LN11
Notes: Evidence required at sign-up, delay start until all evidence available
Evidence required at sign-up or shortly after, start learners even if they cannot provide all evidence on day one and acquire evidence quickly
Evidence required at sign-up, delay start until all evidence available
Eligible for WG funding if either C5 or C6 is located in Wales
Eligible for ESF support if C5.
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AA8. The table notes one circumstance in which the criteria are applied differently for WG funding and ESF Support.
AA9. For Apprenticeship and Traineeship programmes the former criteria C7, C8 and C9 have been withdrawn although values must still be completed and justified for their associated LLWR fields (LP78, LP79 and LP80). These are no longer “essential criteria” for recruitment. However, it is good practice to secure evidence of destination in all cases.
AA10. For learners who have refused to allow any eligibility evidence to be acquired we cannot be sure that they are entitled to undertake a programme (much less receive ESF support). We can understand refusals when we were collecting information retrospectively but, from 18 April 2016, such individuals should not be allowed to
start a programme.
AA11. Potential Participants must not be delayed in starting a Traineeship programme of learning once they have suitability evidence if they cannot provide all the eligibility evidence needed for their programme on entry. Contractors must allow them to start and make every effort to gather the required evidence within 2 months.
AA12. Apprentices and Jobs Growth Wales learners should not start until Contractors have recorded a complete set of suitability and eligibility evidence. These learners may provide their evidence on their first day as part of the sign-up process.
AA13. If a participant starts a Traineeship programme and:
a. is subsequently unable to provide evidence for their right to live and work in the UK; and / or
b. the contractor concludes the evidence provided is false; and /or
c. there is reason to believe that the participant is not legally entitled to live and work in the UK (i.e. is an illegal immigrant),
then, report concerns using DWP’s confidential reporting service and place the learner on approved absence for up to the maximum period (see Section L) to allow for further investigation. If this time has elapsed without resolution the participant must be terminated from the programme.
AA14. If a participant starts an Apprenticeship programme and:
a. the contractor concludes the evidence provided is false; and /or
b. there is reason to believe that the participant is not legally entitled to live and work in the UK (i.e. is an illegal immigrant),
then, report concerns using DWP’s confidential reporting service and place the learner on suspension for up to the maximum period (see Section F) to allow for further investigation. If this time has elapsed without resolution the participant must be terminated from the programme.
AA15. If a participant starts a Jobs Growth Wales Programme and:
a. the contractor concludes the evidence provided is false; and /or
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b. there is reason to believe that the participant is not legally entitled to live and work in the UK (i.e. is an illegal immigrant),
then, report concerns using DWP’s confidential reporting service and terminate the learner from the programme.
AA16. The WEFO Guidance published in January 2016 expanded on earlier guidance by accepting:
provisional driving licences as preferred evidence of Age
evidence of employment as preferred evidence of the right to live and work (since employers must already have checked this to comply with UK Law).
Additional Guidance
Contractors should ensure that proof of employment as evidence of the right to live and work in the UK is dependable. If there is any doubt then the proof should include the learner’s national insurance number.
AA17. Contractors may use these two new forms of preferred evidence for learners who started their programmes before January 2016 but who still lack the other acceptable forms of evidence for age or right to live and work in the UK.
AA18. The WEFO Guidance accepts birth certificates as preferred evidence of the right to live and work in the UK. WBL programmes do not accept birth certificates for this although they are acceptable as preferred evidence of age.
AA19. To comply with European funding requirements Apprentices wishing to enter learning with a level 3 or higher qualification will only be eligible for funding through ESF to undertake a level 2 programme of learning if the programme is:
In a different subject from their level 3 or higher qualification
Necessary for a career change
There is evidence of the learner’s aspiration to progress to level 3.
AA20. In order to obtain ESF evidence that all three conditions are met, providers are required to record this information within the learner’s ILP in order to be able to record LP75 with a “Y”. The ILP will be subject to evidence requirement and audit checks.
AA21. Evidence of the level 3 entry qualification and the level 3 qualification aspiration are both needed. The justification for starting the level 2 programme must be documented in the ILP explicitly stating that the learner is committed to working towards at least a level 3 for the programme to be eligible for ESF support.
AA22. Where it is not the learner’s intention to progress to level 3, there is no requirement to record any information within the ILP but LLWR field LP75 must be recorded with “NQ”.
AA23. The list of acceptable LP75 entries for apprenticeships is:
“Y” for each learner where all eligibility evidence is collected including where self-declaration is permissible or, for example, ‘no qualification’ is declared by the learner.
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“N” for each learner where all ESF evidence cannot be obtained (from 1 April 2016 any new apprenticeship starts with this entry will not be eligible for WBL funding)
“P” (in progress) for each learner where the provider is still gathering ESF evidence, this is expected to be a short term value (from 1 April any new apprenticeship starts with this entry will not be eligible for WBL funding).
“NQ” the apprentice has qualifications on entry at level 3 or higher, is recorded on a level 2 programme but does not intend to progress to a level 3 apprenticeship; or the learner is a Traineeship Level 1 learner who already holds 5 GSCEs at grades A*-C (including Mathematics and English Language); or the learner is a Traineeship Level 1 learner who already holds a level 2 vocational qualification in the same occupational sector as the level 1 Traineeship programme.
“NW” the location of the apprentice’s employment is outside Wales (see para AA6, criterion C5 in the WBL Programme Specification)
Providers must ensure that they obtain all necessary evidence prior to starting an apprentice on a programme. The only exceptions to this relate to the two scenarios given above i.e. where an LP75 entry of ‘NQ’ or ‘NW’ applies. Note that for ‘NQ’, we would expect a provider to encourage a level 2 learner to seek to progress to a level 3 apprenticeship where at all possible.
From 1 March 2016, any new apprenticeship starts with an LP75 code of “N” or “P” will be rejected from the WBL payment calculation. Codes “NQ” and “NW” will be included in payments to Contractors, but will not be included in the claim for ESF Support Suitability and eligibility evidence must be available for audit throughout the retention period for the programme.
AA24. For Apprenticeship and Traineeship programmes Contractors must ensure that the proportion of learners with complete suitability and eligibility evidence always exceeds 95% as “Y” for the contract period 2015/16 and that this evidence has been acquired following the method set out in the WEFO Guidance. As from 1 March 2016 95% shall only apply on an on-going basis to Traineeship entrants; all other entrants should always be 100% as “Y”. LP75 data must be kept up to date in LLWR. WG will monitor the LP75 data and will conduct spot checks of learner files.
AA25. Contractors must make WG aware of all learners that lack complete evidence so that they can be withdrawn from any claim for ESF support.
AA26. The WEFO Guidance does not list documents that are acceptable as preferred evidence of the learner’s home address. These documents are acceptable for learners on a WBL programme:
a. Tenancy agreement / documents; or
b. Mortgage statement / correspondence; or
c. Recent statement from bank / building society / credit card company / credit union; or
d. Recent utility bill or council tax demand / correspondence; or
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e. Evidence of registration on electoral roll; or
f. Correspondence from employer, pension scheme; or
g. Driving licence (provisional or full, any EU country); or
h. Firearms certificate / Shotgun licence; or
i. Letter / confirmation from home owner (family / lodging); or
j. Benefits / State Pension notification letter; or
k. HMRC correspondence; or
l. Rent card / statement; or
m. Solicitor’s correspondence; or
n. Careers Wales Engagement Referral only (Non-employed); or
o. DBS Certificate.
AA27. WG will consider other forms of preferred evidence for this criterion if formally requested.
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2. PROVIDER ASSURANCE AND GOVERNANCE SERVICE GUIDANCE
Manual on the Evidence Requirements to Support Funding and Payment
A. Introduction
The Programme Specification April 2015 – March 2019 forms part of the contract for the delivery and funding of Work Based Learning (WBL) and sets out certain requirements that must be adhered to in the delivery of the following programmes:
Apprenticeships;
Traineeships;
Jobs Growth Wales [Private Sector only]; and
Apprenticeship Employer Incentive Scheme.
This Manual supplements the Programme Specification and its aim is to enable you to quickly and easily identify the evidence required to support payments related to:
Entry [WBL] / start up administration fee [JGW];
Monthly Delivery [WBL] / Monthly Administration fee [JGW]; and
Attainments [WBL] / Destination fee [JGW].
In addition, further guidance is provided for:
Suspensions [WBL – Apprenticeships only] / Leavers [WBL & JGW]; and
Guided Contact Hours (GCH)[WBL]
This document also includes examples of eligibility forms and a template to aid the recording of GCH where you do not already have a suitable process. Please note that the example eligibility forms and GCH template are not mandatory. You are able to develop your own documents provided that the relevant Programme Specification requirements are met and the relevant data is captured as detailed on the example forms [WBL only].
If you have any queries or require further clarification, please contact [email protected] and
start the subject of your e-mail as PAGS.
Notes
1. ‘You’ in this document refers to a WBL Contractor’s staff or authorised
representative.
2. This Manual sets out the evidence requirements for the funding methodology
that commences with the contract start date of 01 April 2015. For any learners
who remain in learning from the previous contract period, the previous guidance
document and funding methodology remain extant.
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B. Apprenticeship Programmes including Apprenticeship Employer Incentive Scheme and Shared Apprenticeship Delivery
(Foundation Apprenticeships, Apprenticeships, Higher Apprenticeships)
Entry Payment – New Starts
Prog Spec Ref
Before submitting any data to the LLWR in respect of a new start, the following evidence must be held:
Eligibility - evidence that the learner is eligible.
NB: Apprenticeship Employer Incentive Scheme evidence and eligibility requirements are consistent with the Apprenticeship Programme, in addition to these requirements you must ensure you retain evidence to support the eligibility criteria specifically required for this scheme.
If eligibility is established in advance of commencement on the programme, eligibility should be re-confirmed on the start date as circumstances can and do change.
B1 to B6
I19-I45
a learner is not eligible if they are, at the point of entry, already taking
part in any other EU funded employment or enterprise programme, or
vocational learning programme funded directly by the UK Government or
the Welsh Ministers.
B6
fully completed data collection forms (or similar) that include all data
items from the LLWR LN and LP datasets (i.e. fields that start LN or LP)
authenticated by the learner and you. There is no requirement to obtain
the learner’s signature on documentation to verify data items from the LA
and AW datasets (i.e. field that start LA or AW), but you must use the
learner’s ILP to record activities undertaken with start dates. You may
use your own documentation providing these documents contain the
relevant data items required by the LLWR as well as original
authentication, ESF logo, privacy notice and ESF statement. The forms
must be authenticated by you and the learner to confirm that the
information contained on the forms is correct;
R3
Evidence to confirm that initial assessment, including the Wales Essential
Skills Toolkit (WEST). Essential skills and diagnostic assessments are to
be undertaken within 61 days of the start date;
D7Error! Reference source not found.
An Individual Learning Plan (ILP) must be held, however, it is acceptable
for this document to be partially completed at the start of learning. The
ILP must be fully completed, authenticated by the learner, employer and
you within 4 weeks of the start date. The ILP must be updated
throughout the duration of the apprenticeship programme to record all
activities undertaken and the start and end dates (i.e. items from the
LLWR dataset that start LA and AW). All changes/updates must be
authenticated by the learner;
D1 D6-D12 D14 to D17
an Apprenticeship Learning Agreement (ALA) authenticated by the
learner, employer and you confirming that the learner is in receipt of the
National Minimum Wage (NMW).
C1
NB: Apprenticeship or an Apprenticeship to a Higher Apprenticeship is a F8
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Entry Payment – New Starts
Prog Spec Ref
continuing learner, and you are not required to complete new enrolment forms, but you must:
Check that the information held is accurate and complete a Change of
Circumstance form if any details require updating;
Undertake eligibility checks if more than 8 weeks have elapsed between
the end of the first programme and the start of the next;
Update the learner’s ILP to include the new programme e.g. start date,
expected duration and framework details etc. (It is expected that the ILP
will be a working document that is updated to reflect the learner’s current
position);
If necessary, update the learner’s Apprenticeship Learning Agreement (if
the employer is the same for both programmes) or prepare a new
Apprenticeship Learning Agreement and SME4 (if the employer is
different); and
Set up new LP, LA and AW records on the LLWR for the new programme
of learning. This information does not have to be authenticated by the
learner as long as the ILP has been updated, and any Change of
Circumstance form completed as outlined above.
WEFO New Data and Evidence Requirements (LP75)
From the 1 January 2015 all Learners in learning and new starts from this date must provide evidence of eligibility in line with the most recent WEFO Data and Evidence Requirements. Providers must keep a copy of this evidence on learner file for review by PAG’s team.
Note: Updates to the WEFO Data and Evidence Requirements are issued regularly through Ask WBL providers should ensure they are they are aware of latest guidance.
Section AA
Hours of Work (LP61)
A learner is only eligible if they attend work and training for at least 16 hours per week (unless authorised absence has been granted). From 1st August 2016 all new starts must provide evidence of hours worked to support LP61. The provider should retain evidence to support LP61 in the form of an authenticated Apprenticeship Learning Agreement that confirm the learner has been attending work and training for at least 16+ hours per week.
B3
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Monthly Delivery Payments
Prog Spec Ref
A Monthly Delivery Payment will be payable in respect of all learners ‘In Learning’ at any point during the month.
For a new start
a fully completed ILP (a partially completed ILP is acceptable if within 4
weeks of the start date) and a forward plan of learning to the date of the
first review will evidence the monthly payment(s) until the planned date of
the first review.
D6
The evidence to be retained by you to support the Monthly Delivery Payment will be:
a progress review that took place in the month, demonstrating progress
made since last review and, if the learning is continuing, a forward plan of
learning. This review must be authenticated by the Learner, employer
and you. (Employer’s signatures are not required on review
documentation where a learner undertakes off the job training on a full
time block release basis if the period is expected to exceed 10
consecutive weeks.)
NB: There may be occasions where it is not possible for the employer to
authenticate the progress review. In such circumstances, the lack of an
employer authentication would not invalidate the review or any monthly
delivery payment. However, persistent and / or repeated absence of
employer authentication on review documents will be reported and may
result in funding being recovered.
D19
D20 Annex B PAGS Guidance
If a payment month falls between two reviews, then the evidence to support the payment will be:
fully completed reviews undertaken before and after the payment month
that are no greater than 61 calendar days apart;
both reviews must be authenticated by the learner, employer and you and
include progress made since the last review. If the learning is continuing,
both reviews must contain a forward plan of learning for the period to the
next review. If the learning is completed, the later review does not need a
forward plan.
NB: See Annex of this guidance for review requirements
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Welsh Medium And Bilingual Delivery Uplift
Prog Spec Ref
The evidence requirements for the Welsh Medium and Bilingual Medium uplifts are as follows (based on the data recorded in LLWR field LA26) using the following definitions:
B1 – Learning completed in a bilingual context and at least 50% of the available assessments within the learning activity completed through the medium of Welsh. The outcome may be achieved using any appropriate teaching methodology. B2 – A significant amount of Welsh Medium learning e.g. both verbal and written. Welsh used in many, but not all, parts of the learning activity. Assessment mainly in English, but some may also be in Welsh B3: A small amount of Welsh medium learning e.g. use of Welsh limited to verbal communication or to a minor part of the learning activity. English only assessment. This code can be used to record situations where some Welsh is used during the learning. Minimum use of incidental Welsh is not sufficient for it to be recorded. There needs to be Welsh language interaction between assessor/ lecturer and learner for it to be a meaningful use of the language’ C1 – Learning completed in a Welsh-medium context and all of the available assessments within the learning activity completed through the medium of Welsh.
You should ensure that evidence is retained on reviews and the ILP to support the coding recorded in LLWR field LA26.
V4 & V5 LLWR manual field LA26
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Outcomes / Attainments
Prog Spec Ref
For fundable purposes any outcome/ attainment must be entered onto the LLWR by you within 6 months of the actual leaving date; and you must hold either:
D16
D17
a copy of the qualification certificate (authenticated as a true
copy); or
the results list from the awarding body.
The qualification certificate or the results list should, as a minimum, include:
the learner’s name;
the name of the approved qualification;
the level of approved qualification; and
the date the attainment was gained.
NB
Internal Verification reports are not acceptable as evidence to support Attainments.
R11 Part 3. European Funding Compliance Guidance – Section D
Suspensions / Leavers
Prog Spec Ref
When the learner is no longer undertaking an activity (or activities), the LLWR must be updated to reflect this. If this is temporary and the learner is expected to return to complete the activity (or activities), then suspension is appropriate. If the learning has been completed (successfully or not) or the learner is not expected to return, the learner should be treated as a leaver.
R5
Suspensions You are expected to have in place systems to identify when a learner is no longer in learning. If this is expected to be temporary, for example a learner going on maternity leave fully anticipating to return to complete their learning plan, then the learning activity (or activities) should be suspended. This is achieved by completing LA31 with code 5 and LA30 with the suspension date. The suspension date should be the last date that there is evidence of the learner being ‘in-learning’. E.g. centre based activities supported by a timesheet / attendance record, day or block release attendance in college for activity/ies recorded in the ILP or work based activities etc. This can be accepted providing the latest learner review (containing a forward plan) is no more than 61 days old at the date of suspension. If the learner is able to authenticate to confirm the suspension, this must be recorded on the ILP, a change of circumstances form, or similar. If the learner is unable to authenticate to confirm the suspension date e.g., the learner may already have commenced their maternity leave, then the ILP, a change of circumstances form, or similar authenticated by you identifying the last ‘in-learning’ date will, in conjunction with the previous review within 61 days of the suspension date (containing a forward plan) support the suspension date. Where the learner was attending college on
F5 to F7 F11
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Suspensions / Leavers
Prog Spec Ref
day or block release, attendance records from the college may also be used to evidence the suspension date.
You should have a monitoring system in place to ensure that length of time on suspension is monitored and does not exceed the 13 weeks maximum or the relevant statutory period or employer terms & conditions if greater. Where the relevant statutory period or employer terms & conditions are greater than 13 weeks you should obtain evidence from the employer that the suspension is agreed. For example, the evidence could include a letter or email from the employer confirming the reason for the suspension, the expected duration and confirmation that the employer is holding the post for the apprentice to return.
F7
Return from Suspension A review must be completed on the first day of learning on return from suspension. You should update the activities on the learner’s ILP with the return from suspension date.
F6
If the learner doesn’t return to learning from suspension, then LA31 (Completion Status) should be changed from 5 to a more appropriate code, which in the majority of cases will be code 3, and the ILP must be updated with the actual leave date.
F12 R3
NB: The activity suspension from and to date(s) must be recorded on the
learner’s ILP in all cases. LP55 must be evidenced on the ILP or a leaver form.
R3
Leavers If the learning has been completed, (successfully or not) then the activity (or activities) should be closed by updating LA30 with the last evidenced date of learning (there can be different dates for different activities) and LA31 should be updated accordingly. LP55 should also be updated with the leave date. The leave date should be the last date that there is evidence of the learner being ‘in-learning’ in conjunction with a review containing a forward plan authenticated by the learner within 61 days of this date.
F12
If the learner is able to authenticate to confirm the leave date, LP55 must be evidenced on the ILP or a leaver form or similar. If the learner has already left and is unable to authenticate to confirm the leave date then the ILP or a leaver form, or similar authenticated by you identifying the last ‘in-learning’ date in conjunction with a review within 61 days of the leave date (containing a forward plan) will support the leave date. Where the learner was attending college on day or block release, attendance records from the college may also be used to support the leave date.
R3
Redundancy Where an Apprentice has been made redundant you are expected, as a minimum, to provide support to the learner by:
Contacting other relevant employers you work with to determine if any
alternative suitable vacancies may be available;
Contacting other providers to determine if any suitable vacancies may be
available;
F1
C1, C2
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Suspensions / Leavers
Prog Spec Ref
Referring the learner to Careers Choices Dewis Gyrfa for advice on their
possible options;
Referring the learner to the Apprenticeship Matching Service to identify
whether any suitable vacancies are advertised;
Identify other actions which are appropriate to support an apprentice who is
made redundant e.g. Jobs Growth Wales opportunities, but the primary focus
should be to enable the apprentice to continue the apprenticeship.
Evidence to support these activities should be maintained on the learner file and may be subject to audit.
Deletions Providers must comply with Data Submission Guidance and only delete records in line with this guidance. To support the deletion, providers must keep a full auditable trail for a minimum of 24 months, following the date of the deletion for audit purposes.
4. Data Management Guidance
Transfers To support transfers:
1. the new provider must keep copies of the appropriate paperwork of
the transferring learner on the learners file;
F9-F10 4. Data Management Guidance
2. the outgoing provider should keep a copy of the letter or email sent
to the new provider, confirming that the transfer has taken place, on
the learners file.
The documentation is subject to audit.
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C. Traineeships (Engagement, Level 1 and Bridge-2-Employment)
Entry Payment – New Starts
Prog Spec Ref
Before submitting any data to the LLWR in respect of a new start, the following evidence must be held:
Evidence that the learner is eligible (NB if eligibility is established in
advance of commencement on the programme, eligibility should be re-
confirmed on start date as circumstances can and do change;
a learner is not eligible if they are already taking part in any other EU
funded employment or enterprise programme or vocational learning
programme funded directly by the UK Government or the Welsh Ministers
(unless prior written approval has been given by the Welsh Government
which confirms that learning activities are not duplicated).
J15 to J27
a Careers Referral (Engagement learners) or Level 1 Referral Application
Form, or evidence of notification to Careers Choices Dewis Gyrfa to
support a self referral, completed on or before the start date;
J23 - J24
fully completed data collection forms (or similar) that include all data
items from the LLWR LN and LP datasets (i.e. fields that start LN or LP)
authenticated by the learner and you. (You may use your own
documentation providing these documents contain the relevant data
items required by the LLWR as well as original signatures, ESF logo and
ESF statement. The forms must be authenticated by you and the learner
to confirm that the information contained on the forms is correct;
R3
A fully completed Individual Learning Plan authenticated by you, the
learner and where appropriate, the learning coach and employer; and
J30 to J36
Evidence that the Wales Essential Skills Toolkit (WEST) essential skill
initial and diagnostic assessment has been undertaken, within four weeks
of start date, unless evidence is available following progression from
Engagement training.
K22
NB: A learner progressing directly from Engagement to Level 1 or Level 1 to Bridge to Employment is a continuing learner, and you are not required to complete new enrolment forms but you must:
Check that the information held is accurate and complete a Change of
Circumstance form if any details require updating;
Undertake eligibility checks if more than three weeks have elapsed
between the end of the first programme and the start of the next;
Update the learner’s ILP to include details of the new programme (e.g.
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start date, expected duration etc.) It is expected that the ILP will be a
working document that is updated to reflect the learner’s current position;
and
Set up new LP, LA and AW records on the LLWR for the new programme
of learning. This information does not have to be authenticated by the
learner as long as the ILP has been updated, and any Change of
Circumstance form completed as outlined above.
WEFO New Data and Evidence Requirements (LP75)
From the 1 January 2015 all Learners in learning and new starts from this date must provide evidence of eligibility in line with the most recent WEFO Data and Evidence Requirements. Providers must keep a copy of this evidence on learner file for review by PAG’s team. Note: Updates to the WEFO Data and Evidence Requirements are issued regularly through Ask WBL providers should ensure they are they are aware of latest guidance.
Section AA
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Monthly Delivery Payments
Prog Spec Ref
A Monthly Delivery Payment will be payable in respect of all learners ‘In Learning’ at any point during the month. For a new start
a fully completed ILP (a partially completed ILP is acceptable if within 4
weeks of the start date) and a forward plan of learning to the date of the
first review will evidence the monthly payment(s) until the planned date of
the first review.
The evidence to be retained by you to support the Monthly Delivery Payment will be:
a progress review that took place in the month (demonstrating progress
made since last review), authenticated by the Learner and you (and
employer if applicable).
Progress reviews should only take place when a learner is in attendance
in person or virtually at either the learner’s designated place of learning or
the placement Provider’s premises. The date, place and time of the next
review should be agreed as part of the review process.
J30 to J36 Annex B PAGS Guidance
If a payment month falls between two reviews, then the evidence to support the payment will be:
a fully completed review in the month before and a fully completed review
no greater than 31 days of the previous review;
both reviews must be authenticated by the learner and you (and
employer if applicable) and include progress made since the last review.
If the learning is continuing, both reviews must contain a forward plan of
learning for the period to the next review. If the learning is completed, the
second review does not need a forward plan.
NB: See Annex B of this guidance for review requirements
K14 to K22
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Welsh Medium And Bilingual Delivery Uplift Prog Spec Ref
The evidence requirements for the Welsh Medium and Bilingual Medium uplifts are as follows (based on the data recorded in LLWR field LA26) using the following definitions:.
B1 – Learning completed in a bilingual context and at least 50% of the available assessments within the learning activity completed through the medium of Welsh. The outcome may be achieved using any appropriate teaching methodology. B2 – A significant amount of Welsh Medium learning e.g. both verbal and
written. Welsh used in many, but not all, parts of the learning activity. Assessment mainly in English, but some may also be in Welsh B3: A small amount of Welsh medium learning e.g. use of Welsh limited to verbal communication or to a minor part of the learning activity. English only assessment. This code can be used to record situations where some Welsh is used during the learning. Minimum use of incidental Welsh is not sufficient for it to be recorded. There needs to be Welsh language interaction between assessor/ lecturer and learner for it to be a meaningful use of the language’ C1 – Learning completed in a Welsh-medium context and all of the available
assessments within the learning activity completed through the medium of Welsh. You should ensure that evidence is retained on reviews and the learner’s ILP to support the coding recorded in LLWR field LA26.
V4 & V5
LLWR manual field LA26
Guided Contact Hours (GCH)
GCH must be recorded and evidenced for all Traineeship programmes. All payments are based on the number of GCH recorded for ‘Centre based provision’ and the number of GCH recorded for ‘Work Based Support & Assessment’. A template to record GCH is included in Annex C, this is not mandatory and you are able to design your own method of evidencing GCH.
For further information See Annex C - PAGS Guidance
Outcomes / Attainments NB outcomes / attainments are not funded for the Engagement programme.
For fundable purposes any outcome/attainment must be entered onto the LLWR by you within 6 months of the actual leaving date; and you must hold either:
a copy of the qualification certificate (authenticated as a true copy); or
the results list from the awarding body.
The qualification certificate or the results list should, as a minimum, include:
the learner’s name;
the name of the approved qualification;
the level of approved qualification; and
the date the attainment was gained.
NB
R11 Part 3 European Funding Compliance Guidance
Information AssuranceSection D
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Internal Verification reports are not acceptable as evidence to support Attainments.
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Leavers
Prog Spec Ref
When the learner is no longer undertaking an activity (or activities), the LLWR must be updated to reflect this. NB: this section should also be used for the process of managing authorised and unauthorised absence.
L19 L12 to L15
Leavers If the learning has been completed, (successfully or not) then the activity (or activities) should be closed by updating LA30 with the last evidenced date of learning (this may be different dates for different activities) and LA31 should be updated accordingly. LP55 should also be updated with the leave date. The leave date should be the last date that there is evidence of the learner being ‘in-learning’ in conjunction with a review containing a forward plan authenticated by the learner within 31 days of this date. Where the learner was attending college on day or block release attendance records from the college may also be used to evidence the leave date. This leave date should be recorded on the ILP, a leaver form, or similar.
L19
If the learner is able to authenticate to confirm the leave date, this must be evidenced on the ILP, or a leaver form, or similar.
R3
If the learner has already left and is unable to authenticate to confirm the leave date then the ILP, or a leaver form, or similar authenticated by you identifying the last ‘in-learning’ date in conjunction with a review within 31 days of the leave date (containing a forward plan) will support the leave date. Where the learner was attending college on day or block release, attendance records from the college may also be used to support the leave date. The appropriate Starters and Leavers Form must be used to notify Career Choices Dewis Gyrfa of all eligible youth Learners leaving within 10 working days of the leave date.
L15
NB Authorised Absence :
You may approve pre-authorised absence of up to 15 consecutive working days. Where it becomes clear that 15 days authorised absence is not going to be enough to enable the learner to return to learning or where the learner has completed 15 consecutive working days of pre-authorised absence, they must be immediately withdrawn from learning if they fail to return to learning on the 16th working day. The last date for which allowances are payable is the 15th working day.
L12
Examples of authorised absence include:
sickness (supported by a Statement of Fitness for Work (fit note) after 7
days);
holiday entitlement;
time off in lieu (e.g. on account of working on a bank holiday);
compassionate leave;
pre-authorised medical appointments;
pre-arranged appointments linked to specialist personal support e.g.
counselling appointment;
time off to deal with housing issues;
L12
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Leavers
Prog Spec Ref
time off to attend an appointment with Career Choices Dewis Gyrfa; or,
time off to attend a job interview.
Unauthorised Absence
Learners who have been absent from a programme of learning for 10 consecutive working days without prior authorisation shall be immediately withdrawn from learning and payment of allowances must cease immediately from the last working day for which there is evidence that the Learner attended the programme. Career Choices Dewis Gyrfa must be notified where a Learner has been identified as at risk of disengaging from learning. This includes where a Learner’s unauthorised absence level has fallen below their agreed attendance level.
L13-L15
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Young Recruits Programme
Previous arrangements for YRP remain extant until participants complete their period of previously approved YRP support. Please refer to Version 1.8 of Programme Specification and Guidance April 2015 – March 2019.
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D. Other WBL Support Funding
Work Ready Programme – Carry Over Learners only
Refer to the PAGS Work Based Learning Guidance on the Evidence Requirements 1 August 2011 – 31 March 2015 issued January 2015 version 5. Travel Funding (unemployed learners only) For further details, Part 8 of the Programme Specification and Guidance notes
Prog Spec Ref
Traineeships
Learners following a Traineeship are required to pay travel costs up to the equivalent of 10% of their weekly training allowance for a full week’s attendance. E.g. a Traineeship Level 1 learner receiving a maximum Training Allowance of £50 per week will be required to meet the first £5 of their weekly travel costs. A Traineeship Engagement learner receiving the maximum training allowance of £30 per week is required to meet the first £3 of their weekly travel costs. Learners may claim towards necessary reasonable travelling expenses incurred in connection with travel to and from their place(s) of learning above this amount. Wherever possible, weekly or monthly season tickets should be used, but you should not make payments for a season ticket of more than one calendar month. All claims must be considered on the basis of travel by the most economical
route. If a learner uses his/her own transport, s/he may claim for the costs of fuel and car or motor cycle parking provided this does not exceed the cost of travel by public transport (where available) and there is no alternative facility to park the car or motorcycle. The Welsh Government will support the cost of travel by car, or motor cycle, up to a maximum of 25p per mile, and you must ensure that any payments made to learners do not exceed the maximum rate of 25p per mile Evidence Public transport: You are required to retain evidence of attendance to support the travel cost. You are also expected to retain all receipts to support the travel claim. Private transport: the learner must state the details of the journey(s) and records should be maintained by you to evidence that mileage claims are only being made for journeys to and from the learner’s home to the place of study and/or work placement. You must retain a record of all payments to the learner. For payments made by cash or cheque, a receipt authenticated by the learner confirming the payment must be held. For payments made by BACS, an authenticated attendance record must be held.
L27 Part 6 Support Cost Guidance
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Training Allowances (unemployed learners only) For further details, Part 8 of the Programme Specification and Guidance notes
Prog Spec Ref
Traineeship learners Non-employed learners must be paid an allowance as specified in the Programme Specification L21 to L26. Evidence requirements
You are required to make training allowance payments direct to the learner. You must maintain a record of all payments to the learner. For payments by cash or cheque, a receipt authenticated by the learner should be held in addition to evidence of attendance. Where learners are paid by BACS, an attendance record authenticated by the learner and authorised by you must be completed. This attendance record may then be used as the basis to create a BACS payment. You will need to retain the BACS reports to demonstrate that payment has been made.
L21 to L26
Part 6 Support Cost Guidance
Childcare Funding (non-employed lone parents only)
For further details, Part 8 of the Programme Specification and Guidance notes Traineeships
You must hold:
a fully completed application form;
a copy of the child’s birth certificate;
evidence that a check has taken place to confirm that the childcare
provider is registered with the Care and Social Services Inspectorate
Wales (CSSIW) or has been approved by an accredited organisation’s
Quality Assurance Scheme (a print screen or printout would suffice);
copy of the letter confirming child benefit entitlement or their Tax Credit
Award Notification (TC602 (SN);
all original invoices received in respect of the childcare;
attendance records to confirm the learner was in learning for the periods
covered by the childcare funding.
L31 Part 6 Support Cost Guidance
Additional Learning Support (ALS) Funding For further details, please refer to Part 8 of the Programme Specification and Guidance notes
E4 & E5
ALS support is available for learners with Additional Learning Needs which:
i. arise from a learning difficulty and/or disability;
ii. is over and above that provided for in a learning programme; and
iii. is necessary to enable the individual learner to achieve.
Support does not include learners with support needs arising from a functional literacy or numeracy difficulty (i.e. essential skills) or learners for whom English (or Welsh) is a second language.
L33 & L34 Part 6 Support Cost Guidance
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Any ALS support must be recorded on the ILP.
The evidence to be retained by you to support Additional Learning Support funding is set out in the document 2015/19 WBL Support Costs Guidance.
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E. Jobs Growth Wales (Private Sector only)
This section is to provide guidance and clarity to the Work Based Learning (WBL) Managing Agents, contracted to deliver the Jobs Growth Wales [JGW] programme via the WBL tender. JGW Forms/Documentation
The following forms have been designed by the Welsh Government for use by you in the delivery of the JGW Programme.
JGW1 Employer Application Form
JGW2 - Participant Registration Form
JGW 3 – Mentoring Form
JGW 4a – Destination Form
JGW 5 – Direct Progressions Letter
Other documentation required to be held on file by you:
Evidence of health and safety appraising; in accordance with the Welsh
Government Health and Safety Code of Practice for contracted provision;
Evidence to confirm validity of the Employer Liability Insurance
Expression of Interest Form
Employer Application form
Participant Application form
Copy of the Jobcentre Plus or Careers Wales Referral letter
Copy of participant’s job description;
Copy of participant’s signed and dated contract of employment and if applicable
evidence of any changes to employment contract made during the 26 week
opportunity
Evidence of participant’s attendance i.e. timesheets;
Evidence to support the participant’s last working day i.e. timesheets
Evidence to support National Minimum Wage is being paid to participants: i.e.
payslips, Employer payroll records;
Evidence of participant’s sickness record;
Evidence to support the ESF evidence requirements as follows: (see Guidance
notes, Page 88)
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participant’s legal right to live and work in the UK at the time of commencing
the programme,
participant’s highest qualification held on entry to programme (Note:
applicable for Graduate JGW opportunity only to evidence the relevant degree
or equivalent qualifications required.)
participant’s unemployed status at the time of commencing the programme,
(JCP or CW referral only)
participant’s age at the time of commencing the programme;
participant’s home address,
participant’s Immediate destination,
Evidence of employer’s payments to participants i.e. wage slip;
Evidence of payment by you to Employers; and
Evidence to confirm the accuracy of the data submitted by you for each participant
to the JGW secure on line data collection;
Evidence to support the efforts made by you to contact the participant and/or the
employer if they are unable to get hold of them within 7 days of their agreed
mentoring session. (See JGW Specification Section O, “Participant Support”)
Evidence of letter sent by you to employers and/or participants where monthly
mentoring contact could not be made;
Evidence to support destination (see JGW Specification Section P, “Exit
Arrangements for types of acceptable evidence).
(Where applicable) Evidence from the employer of notice in writing of the intention
to terminate the participant’s employment contact and the reasons why.
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Evidence requirements to support funding
The following documentation must be fully completed and retained on file for audit to support funding.
A: Start up Fee
The initial fee cannot be claimed by you until the position is reported as filled on the Jobs Growth Wales Live system and will be paid when a participant commences in a placement. A: Start Up Fee Evidence required to support the payment of the start up fee by you is :
Prog Spec Ref
JGW1 Employer Application Form: must be fully completed by every
employer for every vacancy. If an employer subsequently identifies an
additional vacancy after the first application, another JGW1 must be
completed by the employer and submitted with the new vacancy details.
Contractors are responsible for ensuring the employer has met the
required sustainability rates before allowing applications for additional
vacancies to be advertised.
N15, P39
With the exception of direct progressions - Contractors should hold evidence that employers recruited to the programme have been approved by Welsh Government through the Jobs Growth Wales Expression of Interest (EOI).
P4
All vacancies must be included on the Jobs Growth Wales Live website, hosted by Careers Wales. The JGW team will then review the details and approve / query or clarify / reject the vacancy prior to the vacancy going live on the system and recruitment process commencing.
P4, P14, P19
Employer State Aid Eligibility: The Jobs Growth Wales programme is operating under State Aid regulations and as such the employer must choose which one of the following applies to the their business: GBER (General Block Exemption Regulation): If an employer has exceeded the de minimis State Aid limit, they can participate in the programme under the General Block Exemptions Regulation (GBER) but they will only be entitled to claim 50% of the wage reimbursement appropriate to the national minimum rate. However GBER is aimed at specific disadvantaged target groups. If the participant is either:
Is 6 months out of regular work; or
Has not yet reached a level 3 qualification; or
Is a lone parent; or
Is a member of an ethnic minority within a Member State
requiring the development of linguistic, vocational training or
N24 to N27
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A: Start Up Fee Evidence required to support the payment of the start up fee by you is :
Prog Spec Ref
work experience to enhance the prospect of gaining stable
employment.
De minimis declaration: The amount of funding you provide to the employer under the JGW programme will be included in any cumulative amount of de minimis State Aid received by the employer. EU rules require that the amount of cumulative de minimis state aid is limited to €200,000 (€100,000 for undertakings in the road transport sector) from all sources combined during any three financial year’s period. You will need to be satisfied that the amount offered under JGW will not result in the employer exceeding this ceiling. All employers must therefore declare the amount of de minimis State Aid received in the past 3 three years. Where the employer has already received de minimis State Aid up to the ceiling or where the amount fundable under JGW will exceed the ceiling, the employer is not eligible for JGW support. The employer should include full details of any de minimis support including the organisation granting the aid, the dates paid and amount(s). Typically this might be grant/financial or non-grant/non-financial de minimis support - usually from central or local government or other public bodies. If the employer is active in the coal sector you cannot use the de minimis aid system.
JGW2 - Participant Registration Form: must be fully completed by
every participant on the programme. Eligibility should be established by
you on recruitment to the programme. The form must be completed by
the participant and your organisation on the first day the participant
attends the programme to provide evidence of eligibility.
N9, N13 & N36
WEFO New Data and Evidence Requirements
From the 1 January 2015 all new participants must provide evidence of eligibility in line with the most recent WEFO Data and Evidence Requirements. Providers must keep a copy of this evidence on participant’s file for review by PAG’s team.
See Guidance Notes - Page 88 onwards for examples of acceptable documentation.
Note: Updates to the WEFO Data and Evidence Requirements are issued regularly through Ask WBL providers should ensure they are they are aware of latest guidance.
Evidence of Legal right to live and work in the UK;
Evidence of unemployed status;
Please note regardless of list of WEFO acceptable evidence detailed in the Guidance notes section, for JGW participants the only acceptable documentation to evidence unemployed
Section AA Programme Spec
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A: Start Up Fee Evidence required to support the payment of the start up fee by you is :
Prog Spec Ref
status is the Referral letter/confirmation from DWP/Jobcentre plus or Careers Wales.
Evidence of highest qualifications held on entry;
Please note this is only applicable for Graduate JGW opportunity to evidence the relevant degree or equivalent qualifications required. Original documents must be sighted, copies of which must be authenticated as ‘I certify that this is a true copy’.
Evidence of Age.
Evidence of Address.
Copy of the participant’s contract of employment which notifies in
writing their terms and conditions of employment upon starting the
programme.
O1
Copy of participant’s job description which should outline their job role
clearly and specifically. Furthermore, they must be notified in writing, of
any subsequent changes to their terms and conditions of employment or
job duties.
N3 & O1
Evidence to confirm the accuracy of the data submitted by you for each
participant to the JGW secure on line data collection point.
P24 to P28
Evidence that health and safety appraising has taken place prior to the
participant being placed with the employer.
P54 to P56
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B: Monthly Administration Fee:
You must have evidence to confirm that the participant remains active within the programme to support funding for the subsequent 5 months. B: Monthly Administration Fee Evidence required to support the payment of the monthly administration fee by you is:
Prog Spec Ref
JGW3 – Mentoring Form: as a minimum this must be completed on a
monthly basis for all participants to provide evidence of mentoring support
for the duration of their time on the programme. You must contact the
participant and the employer/line manager, and you should ensure that a
suitable method of communication is agreed at the outset. Where a
contractor has been unable to contact the participant or the Line
manager/employer within 7 days of the agreed date they must provide
evidence they have written to them requesting they make immediate
contact.
O13 to O21 & P39
Evidence to support participant’s ongoing attendance on the programme.
You must have appropriate procedures in place with the employer to
monitor the participant’s attendance at their job opportunity. The employer
must be able to provide evidence to you demonstrating that the participant
has attended for the appropriate number of hours each week and you must
maintain an accurate record of this attendance from the employer to
support funding. Where the employer cannot provide satisfactory evidence
of attendance, authorised absence and/or payment the participant can no
longer be supported or funded under the JGW programme and should be
terminated from the programme.
O4 to O6 & P39
Evidence of the efforts made by you to contact the participant and/or the
employer. If a contractor is unable to contact a participant and/or the
employer within 7 days of their agreed mentoring session they must
document the efforts made to contact them. This includes evidence of
letters, emails sent by you to employers and/or participants where contact
could not be made.
O15 & O20
Evidence to confirm all periods of sickness absence. This should include
any self certification by the participant for periods of sickness absence up to
7 days. For sickness absences over 7 days a Med 3 (fit/unfit for work
certificate) must be available. You are required to report the number of sick
days a Participant takes on a monthly basis. The Welsh Government will
not reimburse costs after the 26 weeks of funding has ended You should
note that the Welsh Government will not reimburse costs relating to any
sickness absence by the participant unless the employers usual terms and
conditions pay the participant’s full rate of pay during these periods of
absence (as identified in the participant’s contract of employment). The
Welsh Government will not reimburse Statutory Sick Pay.
O5, P32 & P33
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B: Monthly Administration Fee Evidence required to support the payment of the monthly administration fee by you is:
Prog Spec Ref
Evidence to confirm payment to the participant by the employer. This
must be copies of payslips from the employer to the participant that meet
HMRC requirements (as a minimum this should record gross and net
amounts payable together with all fixed deductions and include sickness
absences). It is not sufficient to hold evidence of the net amount paid to
each participant.
O2 P6 & P39
Evidence to confirm payment by you to the Employer. This must include
invoices/claims from the employer to you. Payments will only be
reimbursed against evidence for actual payments made in respect of the
participant’s employment. For funding purposes participants must attend
between 25 and 40 hours (including statutory breaks) in any 7-day period
and the employer must declare from the outset of the participant’s
employment on the programme the fixed number of hours of attendance
per week. This must remain in place for the 26 weeks and once agreed
cannot be changed. The data management system will cap payments at
the value declared. The Welsh Government will not reimburse costs where
attendance is in excess of the number of contracted hours specified in the
contract of employment and will only reimburse costs against the NMW.
O2, P30 to P39
Evidence to support the participant’s last working day of attendance on
the programme. There must be an attendance record authenticated by the
participant and a representative of the employer confirming the last day
attended. The participant must be removed from the programme with effect
from the last working day for which there is evidence of attendance (this
includes when a participant stops attending work, completes the
programme or resigns).
O6 to O8, P22 & P39
Evidence of employer intention to terminate the participant’s contract.
Where applicable, if the employer for whatever reason decides to terminate
the participant’s contract before the end of the 26 week period, the
employer must provide the contractor with notice in writing of the intention
to terminate the participants’ employment contact and the reasons why.
O7, O8 & O11
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C: Destination Administration Fee
The contractor must report that the participant has completed the programme to ascertain accurate destination and progression information. The destination must be reported within 4 weeks of the employment end date through the Jobs Growth Wales online data system and a destination form must be completed for all participants, including any negative outcomes to support funding. C: Destination Administration Fee Evidence required to support the payment of the destination fee by you is:
Prog Spec Ref
JGW4a – Destination Form: to be completed for all participants to support
the final destination administration fee.
The contractor must record the immediate destination of the participant; this should be within 4 weeks of the participant completing the JGW opportunity,
Where the participant is unable to provide evidence of a positive progression, you should record the details in “other”. For monitoring purposes this should include information such as currently unemployed/ seeking employment/ pregnant or has long term health issues that have prevented taking up employment (this list is not exhaustive but for illustrative purposes only). You should also include a brief narrative why the JGW placement didn’t progress to a positive outcome. All destinations must be logged on the JGW data management system, within 4 weeks of the employment end date. Destination data that is not reported within this time frame will not be eligible for the reimbursement of the Destination fee and unable to contact will automatically be applied.
and
where applicable the appropriate supporting documentation to confirm the
successful positive outcome/progression:
For employment this must include a confirmation letter (or copy)
or e-mail or letter from the employer confirming:
the name of the company;
the young person’s name;
job title;
employment start date;
that the position is for 16 hours or more per week and
intended to last a minimum of 13 weeks; and
Copy of a wage slip from the young person OR
Copy of offer letter.
P23 & P39 P39 O21
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For apprenticeship this must include a confirmation letter (or
copy) or e-mail from the institution / Training Provider confirming
the offer of an apprenticeship (Foundation Apprenticeship,
Apprenticeship or Higher Apprenticeship). The offer must not be a
conditional offer.
For further learning this must include a confirmation letter (or
copy) or e-mail from the institution confirming the offer of a place.
The offer must not be a conditional offer.
Note: Where a positive progression has not been achieved the employer
could be deemed ineligible for further access to the programme.
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F. Employability Skills Programme (ESP) for unemployed adults and offenders in the community from 12th September 2016.
Entry Payment – New Starts – Unemployed adults
Prog Spec Ref
Before submitting any data to the Data Management System in respect of a new start the following evidence must be held:
A fully completed and signed eligibility form (ESP1 Form).
NB: If eligibility is checked in advance of commencement to the programme eligibility should be reconfirmed on start date as circumstances can and do change.
An authenticated referral letter from the JCP Work Coach addressed to the
individual, confirming eligibility for the ESP programme and the individuals
benefit status.
NB: A standardised referral letter has been agreed between WG and DWP PAGS will only accept this version. NB: The referral should be authenticated on or before the start date.
A fully completed Individual Employability Plan (IEP) authenticated by you
and the individual. (ESP2 Form)
NB: The individual IEP must be updated throughout the duration of the ESP programme to record all activities undertaken and the start and end dates and any changes to activities agreed must be recorded on the IEP and agreed with the individual.
For all individuals, evidence of the essential skills initial assessment using
the Welsh Government approved assessment tool - Wales Essential Skills
toolkit (WEST).
M8, M9 & M25 M15, M24 M5, M30 M29, M45
Notes:
if an individual is accessing the ESP programme more than once the above
eligibility criteria must be reconfirmed prior to their start date and new
eligibility forms must be completed.
M16
Entry Payment – New Starts – Offenders in the Community NB Offenders in the community are only eligible for the essential skills element of the ESP programme.
Prog Spec Ref
Before submitting any data to the Data Management System in respect of a new start the following evidence must be held:
A fully completed and authenticated eligibility form (ESP1 form).
NB: If eligibility is checked in advance of commencement to the programme eligibility should be reconfirmed on start date as circumstances can and do change.
An authenticated referral letter from the National Probation Service (NPS)/
Wales Community Rehabilitation Company (CRC) confirming eligibility for
the ESP programme.
NB: The referral should be authenticated on or before the start date.
A fully completed Individual Employability Plan (IEP) authenticated by you
and the individual. (ESP2 Form)
NB: The individual IEP must be updated throughout the duration of the ESP programme to record all activities undertaken and the start and end
M8 M17 M5, M30 M29, M45
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Entry Payment – New Starts – Offenders in the Community NB Offenders in the community are only eligible for the essential skills element of the ESP programme.
Prog Spec Ref
dates.
For all individuals, evidence of the essential skills initial assessment using
the Welsh Government approved assessment tool - Wales Essential Skills
toolkit (WEST).
Notes:
if an individual is accessing the ESP programme more than once the above
eligibility criteria must be reconfirmed on start and new eligibility forms must
be completed.
M16
Assessment and Review Payments
Prog Spec Ref
Reviews should be documented on the ESP2 form using the sections provided.
For new starts:
A fully completed IEP (ESP2) and a forward plan of learning will evidence
the monthly payment until the planned date of the first review.
M55 to M57
M55
The evidence to be retained by you to support the monthly assessment and review will be:
A progress review that is took place in the month that demonstrates the
progress made since the last review and a forward plan of learning. The
review should be authenticated by the individual and you and where
applicable the work placement employer.
Notes:
Progress reviews should be carried out at least once every 31 days. Where
it is identified that reviews are regularly being completed outside the
contractual frequency, this will be reported. There may be genuine reasons
why a planned review cannot be undertaken. In such circumstances, the
reasons should be documented and a new review date should be arranged
as soon as possible. In such circumstances, a small number of days over
the 31 days would be acceptable. However, it is expected that late reviews
would be a rare occurrence. Persistent and / or repeated late reviews will be
reported and will result in funding being recovered.
Should a late review occur, attendance records for courses or learning
activities recorded in the individuals IEP will also be accepted to evidence
‘in-learning’. PAGS may also accept other evidence that demonstrates that
the individual was in learning during the month(s) in question. For example,
assessment records authenticated by the individual or centre based
attendance records in respect of individuals on day / block release. This
additional evidence does not preclude the requirement to complete reviews
to the minimum frequency of at least once every 31 days.
Guided Contact Hours (GCH) – Centre Based and Work Based Delivery
Prog Spec Ref
An individual’s time on the ESP programme should last up to a maximum of six months. The length of time on the planned programme should be tailored by you to reflect the needs of the individual and should be designed to ensure all
M34 to M43
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individuals get substantial work experience and training. GCH must be recorded and evidenced for all ESP activities. All payments are based on the number of GCH recorded for ‘Centre based provision’ and the number of GCH recorded for ‘Work Based Support & Assessment’. The following evidence must be held:
GCH should be recorded and evidenced on attendance records or
timesheets, for each activity and the hours will need to be shown separately
for Centre Based Provision and Work Based Support & Assessment as
appropriate. Some activities may use both methods of delivery; some
activities may be delivered using one method only. You are able to design
your own method of recording and evidencing GCH.
Absence – If an individual fails to attend any Centre Based Provision and/or
Work Based Support & Assessment then these absences should be
recorded on the attendance records or timesheets and GCH should be
recorded on the data management system as zero.
NB; Pre-authorised absence can only be granted to individuals if it has already been approved by JCP. You may not approve any absence.
M26, M8 M26
Notes:
For individuals claiming Job seekers allowance participation in the
programme is restricted to a maximum of 16 hours per week for centre
based activity.
For individuals claiming Universal Credit participation in the programme for
both centre based activity and work placement is restricted to 30 hours per
week.
For unemployed individuals a high quality work placement is expected to
last between 120-240 work based hours over the maximum six month
programme duration. Multiple shorter placements can be offered but these
should not exceed the maximum of 240 hours over the sixth month
placement.
For offenders in the community as they are only eligible for the essential
skills element of the ESP programme GCH will be recorded as centre based
only, unless written approval has been sought from the Welsh Government
for an individual to attend training at alternative venues.
Work Placement – Unemployed adults only
Prog Spec Ref
NB: Work placements are not applicable for offenders in the community and those on job seekers allowance as their time on the programme should be centre based only. If it is agreed as part of the IEP that the individual would benefit from a high quality work placement the following evidence must be held:
A copy of the written agreement made between the individual, the employer
and the provider which sets out the mutual expectations and commitments
and which includes the induction process, clear objectives and a timetable
for regular reviews. (ESP3 Form)
Evidence from the employer that the individual had a real Job interview or
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feedback reflecting on their time spent on the work placement.
Welsh Medium And Bilingual Delivery Uplift Prog Spec
Ref
The evidence requirements for the Welsh Medium and Bilingual Medium uplifts are as follows: (based on the data recorded in the Data Management System.
You should also ensure that evidence to support learning in Welsh is
recorded as part of the individual’s IEP.
You should note that to be eligible for this uplift at least 50 percent of the
learning materials (including notes, PowerPoint presentations, teaching
books, and hand-outs) must be in Welsh.
Section V: Welsh Language Policy
Outcome Payment Prog Spec
Ref
The expectation is that providers will secure a minimum progression rate into employment of 55%. For offenders in the community the expectation is that 50% of all leavers achieve qualification/units of qualifications. Providers are also expected to increase individuals’ level of essential skills competence up to level 2 where appropriate.
M47 to M49
The evidence requirements to support an outcome payment are as follows.
A fully completed destination form (ESP4 Form) authenticated by the
individual and you and where applicable the employer.
Evidence of progression into employment is via a valid payslip dated after
the end date on the programme and up to 8 weeks after completion of the
programme.
Evidence of self-employment needs to be provided e.g. copy of the
individual’s registration with HMRC as self-employed dated after the end
date on the programme.
M49 M49 M49
Notes:
An outcome payment will only be paid when the individual has successfully
achieved a job outcome and this is recorded on the data management
system when four weeks employment has been reached.
A job outcome is a minimum of 16 contracted hours work per week and is
paid employment; this may be comprised of more than one contract of
employment so long as the minimum number of paid hours of employment
totals 16 hours per week.
Zero hour contracts are not acceptable.
Only one job outcome per individual is accepted.
In work Coaching – Support
Prog Spec Ref
To support individuals to sustain employment, providers may offer in work coaching from week one of employment up to a maximum of 3 months. A
M50 to M53
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positive destination must be entered in the Data Management System in order to be eligible for the in work coaching strand of the programme. The following evidence must be held:
Evidence of a written agreement to the coaching support, in the form of a
“Coaching contract” authenticated by the provider, employer and individual
and includes; the parameters of the agreement; the support provided
including face to face support; and the frequency and preferred means of
communication for the agreed coaching.
A record of the date and brief outline of the coaching activity and the agreed
support provided authenticated by you and the individual. (ESP5)
M51 M52
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Leavers and Early Leavers Prog Spec
Ref
You are required to have in place appropriate procedures to monitor an individuals’ attendance during the 6 month period on the programme.
The actual leave date (early or full completion) should be the last date
that there is evidence of the individual ‘in-learning’. This is supported via
a timesheet or attendance record, and a fully completed review within
the last 31 days.
The leave date must be recorded on the IEP and should be supported
by a fully completed destination form (ESP4 Form) authenticated by the
individual and you and where applicable the employer.
M55, M26 M49
Notes:
Pre-authorised absence can only be granted to individuals if it has already
been approved by JCP. You may not approve any absence.
Where an individual fails to attend centre based and/or work based training,
you are required to take all reasonable steps to encourage them to return to
the programme. Where you cannot provide evidence of continued learning
or work placement, the individual shall be terminated and referred back to
JCP.
The Provider must update the relevant fields of the Data Management
system with the leave date.
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Employability Skills Programme (ESP) - Support Costs Travel Support Costs - unemployed individuals and offenders in the community. NB: Refer to the WBL Support Cost Guidance for information relating to the maximum levels of available support.
Prog Spec Ref
All individuals, including those on the Offender programme, that are not employed may be eligible to receive a contribution towards travel costs. For those individuals on the ESP Programme the full cost of all reasonable travel expenses will be reimbursed. Individuals may claim all necessary reasonable travelling expenses incurred in connection with travel to and from their place(s) of learning. The evidence you are required to have to support payments to individuals for travel costs are as follows:
Regular travel claims – you must retain receipts to support all travel costs
incurred i.e. bus or train tickets. Without a receipt travel costs cannot be
reimbursed by you to an individual.
Own vehicle – evidence to establish the correct mileage claimable. You
should hold evidence that the payments made to the individual have not
exceeded the maximum of 25p per mile. The individual must state the
details of the journey(s) and records should be maintained by you to
evidence that mileage claims are only being made for journeys to and from
the individual’s home to the place of study and/or work placement;
All other travel payments – evidence to establish the eligibility of the claim.
Providing this evidence is held, you can certify payments on a weekly,
fortnightly or monthly summary, depending on your internal control system.
You must retain individual attendance records/time sheets and a record of
all payments made to the individual. For payments made by cash or
cheque, a receipt signed and dated by the individual confirming the
payment must also be held. Where individuals are paid by BACS you will
need to retain the BACS reports to demonstrate that payment has been
made.
Part 6 – Support Costs Guidance
Childcare Support Costs - unemployed individuals NB: Refer to the WBL Support Cost Guidance for information relating to the maximum levels of available support.
Prog Spec Ref
The evidence requirements to support childcare support payments are as follows: You must hold:
a fully completed application form;
a copy of the child’s birth certificate;
evidence that a check has taken place to confirm that the childcare provider
is registered with the Care and Social Services Inspectorate Wales
(CSSIW) or that the childcare provider is approved by the Family
Information Services in Wales (a print screen or printout would suffice);
copy of the letter confirming child benefit entitlement or their Tax Credit
Award Notification (TCAN);
all original invoices received in respect of the childcare; and
attendance records to confirm the individual was in learning for the periods
covered by the childcare funding.
Part 6 – Support Costs Guidance
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G. Apprenticeship Employer Incentive Scheme (commencing 1st August 2017)
New Starts
Prog Spec Ref
Before submitting any data to the Data Management System in respect of a new start the following evidence, taken from the employer, by the Provider, must be held:
I23 - I25
Proof that without the grant the business would not be able to recruit an
apprentice;
The business employs fewer than 250 employees;
The business is based in Wales (or the recruited employee(s) would be
based in Wales for at least 51% of their time);
The business has not had an employee start an apprenticeship in the
30 month period before the start date of the first apprentice for whom
they apply the grant;
The employer can commit to employing an apprentice for 12 months or
the time taken to complete the apprenticeship programme (whichever is
the greater);
The employer can commit to employing an apprentice for 30 hours per
week; and
The employer confirms that they will not breach any State Aid rules by
receiving an incentive payment.
Notes: Providers will be required to obtain and retain evidence, authenticated by the employer to prove that the eligibility requirements set out above are met. PAGS would expect the Provider to visit the employer and complete a declaration, authenticated by the employer, recording all of the above criteria.
New Starts
Prog Spec Ref
Before submitting any data to the Data Management System in respect of a new start the following evidence, in addition to the apprenticeship eligibility criteria set out in Annex A – Guide for confirmation of learner eligibility must be held by the Provider:
I26 - I27
Confirmation that the apprentice is aged 16-19 on the day that they are
recruited
Notes: The eligibility checklist, Annex A Guide for confirmation of learner eligibility - Apprenticeships has been updated to include this requirement.
Payments on completion Prog Spec
Ref
Before submitting any data to the Data Management System in respect of an incentive payment the following evidence must be held:
I35 - I45
Providers are required to obtain and retain evidence, authenticated by
the employer to prove the learners employment date
Providers are required to obtain and retain evidence to prove that the
employer has continuously employed the learner as an apprentice for a
minimum of 8 months. This evidence should be authenticated by the
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Payments on completion Prog Spec Ref
employer.
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Annex A: Guide for Confirmation of Learner Eligibility – Apprenticeships
Please see Guide for Confirmation of Learner Eligibility – Apprenticeships at:
Welsh
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/?skip=1&lang=cy
English
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/?lang=en
Please note: These documents are intended as a guide only. It is the responsibility of the provider to ensure that they have robust processes in place to collect the relevant data to confirm learner eligibility.
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Annex B: Guide for Confirmation of Learner Eligibility – Traineeships Please see Example of Confirmation of Learner Eligibility – Traineeships at:
Welsh
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/?skip=1&lang=cy
English
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/?lang=en
Please note: These documents are intended as a guide only. It is the responsibility of the provider to ensure that they have robust processes in place to collect the relevant data to confirm learner eligibility.
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Annex C: Guided Contact Hours – Further information & evidence
1. Traineeship Guided Contact Hours (GCH)
1.1 GCH should include only time when a member of your staff (or a staff member from a sub-contracted organisation when that applies) is present to give specific guidance towards learning. It may include lectures, tutorials and supervised study in, for example, ‘open learning centres’, libraries, learning workshops and in the workplace. For Traineeship learners on work tasters or placements, all hours can be counted.
1.2 It does not include hours where supervision or assistance is of a general nature and is not specific to the study or training of the learner.
1.3 Unauthorised absences should not be included in the GCH figure evidenced.
1.4 Authorised absence can be included in the GCH figure e.g. dental & hospital appointments and centre / placement closure due to snow etc.
1.5 Payments are based on GCH and therefore must be evidenced. You are required to provide your best estimate of GCH at commencement of the programme for Work Based GCH and for Centre Based GCH. Once the programme is completed, you are required to complete actual GCH delivered for Work Based GCH and for Centre Based GCH
2. Guidance for the completion of GCH:
2.1 When a learner commences a learning programme, the guided contact hours entered into the Lifelong Learning Wales Record (LLWR) should be your best estimate of the number of GCH that you will spend with the learner during the expected time to complete the programme.
2.2 There is a requirement to separately record the expected guided contact hours undertaken within centre based (LP69) and work based (LP70).
2.3 Work Based GCH hours should include only those hours where the learner is in the workplace as part of their Traineeship programme. This includes time spent in the workplace either undertaking voluntary work, work experience or on a work placement. It also includes any contact time in the workplace with staff assessing the learners’ progress or achievements, for example, in the assessment of competence.
2.4 Centre Based GCH should include only those hours when a member of your staff (or a staff member for a sub-contracted organisation when that applies) is present to give specific guidance towards the learning programme. It may include lectures, tutorials and supervised study in, for example, ‘open learning centres’, libraries, learning workshops and in the workplace. This will typically be when the learner is centre based but may include other activities which take place outside the learning centre. This could include, for example, time spent on educational visits, community projects, or in learning workshops in support of a learning activity. It could also include group based delivery in the workplace.
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2.5 Centre Based Guided Contact Hours does not include work place contact time with staff assessing the learners’ achievements, for example, in the assessment of competence, as this should be recorded as work based.
2.6 Your expected hours should be as accurate as possible and should be adjusted during delivery of the activity where it appears that the recorded GCH has been over or under estimated.
3. Guidance for the completion of Actual GCH:
3.1 Once the learner completes the programme, the actual cumulative total of GCH evidenced within the centre and work based should be submitted to the LLWR (fields LP71 and LP72 respectively).
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Evidencing Guided Contact Hours (GCH) Traineeships Programmes only
There is no need to record hours at an activity level, GCH only needs to be recorded at a programme level. This form is for an example only and you are free to develop your own evidence basis for Traineeship learners providing you clearly identity Centre Based and Work Based Hours separately.
Number of Guided Contact Hours (GCH)
Learner name Learning Programme Programme start date
Centre Based Work Based
GCH b/f from previous review.
GCH undertaken since last review.
Total GCH to date c/f to next review.
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Annex D: Learner Reviews
1. Learner Progress Reviews
1.1 The learner’s progress review is the main method of monitoring and maintaining progress towards completion of the ILP.
1.2 You will need to review each learner’s progress as frequently as necessary. As a minimum, learners on apprenticeship programmes shall have their progress reviewed once every 61 days following the start of learning / previous review. For learners on Traineeships / programmes, the learners shall have their progress reviewed once every 31 days. This measurement should be applied from the start date and thereafter from the date of the last review undertaken.
1.3 Late reviews - Where it is identified that reviews are regularly being completed outside the contractual frequency, this will be reported. There may be genuine reasons why a planned review cannot be undertaken. In such circumstances, the reasons should be documented and a new review date should be arranged as soon as possible. In such circumstances, a small number of days over the 61 or 31 days would be acceptable and would not be reported. However, it is expected that late reviews would be a rare occurrence. Persistent and / or repeated late reviews will be reported and will result in funding being recovered.
Should a late review occur, attendance records for courses or learning activities recorded in the learner’s ILP will also be accepted to evidence ‘in-learning’. PAGS may also accept other evidence that demonstrates that the learner was in learning during the month(s) in question. For example, assessment records authenticated by the learner or college attendance records in respect of learners on day / block release. This additional evidence does not preclude the requirement to complete reviews to the minimum frequency of at least once every 31 days.
1.4 You shall ensure that the progress review:
shall be conducted in an appropriate environment, away from the pressures of the workplace;
shall allow sufficient time for proper discussion; and
shall involve the learner, the learning provider and (where applicable) the work placement provider / employer in person or virtually
1.5 A review shall include:
actions agreed at the previous meeting;
progress towards achieving the individual learning plan;
assessments undertaken;
progress towards qualifications;
identification of any obstacles to completing the programme;
agreed forward plan of learning for the period to the next review; and
any agreed amendments to the individual learning plan. 1.6 Where the learner requests the presence of their learning coach at a review, it is
considered good practice that the learning coach authentication is also captured as part of the review process.
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1.7 The record of the review shall include confirmation that the progress review took place by means of a authentication by the learner, the Provider and where applicable, the work placement provider.
1.8 Records of the review should be in a format that helps the review meeting to be effective. A record should:
include space to record progress and list actions;
show clear progression from one review record to the next in terms of actions agreed and follow up; and
include comments from the learner, work placement provider / employer (where applicable) and learning provider (each receiving a copy of the review for reference).
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Annex E: Traineeship Destinations
1. Performance Thresholds
1.1 You must ensure that LP79 accurately records the learner destination and it should not be completed until the evidence is available to support the code. If at a later date you become aware that a progression did not occur you must amend your data accordingly.
1.2 Performance thresholds for the Traineeships programme are published at http://gov.wales/topics/educationandskills/learningproviders/raisingqualityandstandards/?lang=en under Learner Outcomes.
1.3 LLWR field LP42 will be required for Traineeship learners who left up to and including 31 December 2014. After this date it will be an optional field for Traineeships and you can complete if you wish to follow up with learners after the four week window.
2. Definition of a positive measurable progression for Traineeships
2.1 For the Traineeship programmes a positive measurable progression is deemed as a progression into further learning at a higher level, employment, voluntary work
or self-employment and the start date must be within four weeks of the learner leaving the programme.
Further learning at a higher level
2.2 A positive measurable progression into further learning at a higher level must be for 16 hours or more per week.
2.3 A positive measurable progression onto a further/higher education course must lead to an approved qualification at a higher level which must be accredited within the Credit and Qualifications Framework for Wales (CQFW).
2.4 A positive measurable progression within work-based learning is deemed as progression onto a programme such as Foundation Apprenticeship. It also includes progression to a higher level programme within the Traineeship programmes i.e. Engagement Traineeship to Traineeship Level 1. You should however, note a transfer from a Traineeship Level 1 to Bridge-to-Employment will not constitute a progression into further learning at a higher level. When learners transfer from a Traineeship Level 1 to Bridge-to-Employment code 12 or 13 will need to completed for LLWR field LP41 and code 16 in LP79; these learners will then be excluded from the calculation for positive progressions for Traineeships Level 1.
Employment/voluntary work
2.5 A positive measurable progression into employment or voluntary work must be for 16 hours or more per week. If a learner with learning difficulties and/or disabilities is progressing into supported employment the 16 hours does not apply.
2.6 If a learner has entered employment but the minimum requirements for a positive measurable progression has not been met code 22 Employed (Part-time) should
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be entered in LP79. This will not be regarded as a positive measurable progression and therefore you will not be required to provide supporting evidence.
2.7 Voluntary work has been included as a positive measurable progression but this is under review as a positive progression.
3. Performance measure for Traineeship progressions
3.1 You must ensure that LLWR field LP79 accurately records the learner destination as this will be used to measure Traineeship positive progressions for the Learner Outcomes Report (LOR). The measure for positive progressions is based on a learner’s ‘actual destination’ within four weeks of leaving the programme.
3.2 The following codes will be included in the calculation for positive progression for
learners:
13 Voluntary work
15 Progressed to learning with a higher level learning aim (other than higher education) at the same provider or another provider
18 Self-employed (including setting up own business)
19 Progressed to higher education (QCF4 or equivalent, or higher), at the same provider or another provider
21 Employed (full-time)
3.3 The following codes will be excluded from any calculations for the Traineeship destinations:
20 Other (this code must only be used for the following: long term sickness; pregnancy; death; custodial sentence or remand in custody; or the learner has moved out of Wales). Evidence must be held by you to support these codes; examples of evidence are attached at paragraph 6
3.4 The following codes will be regarded as ‘negative’ progressions (i.e. the learner will be counted as a leaver who has not progressed):
09 Seeking work/unemployed
16 Further learning at the same level, at the same provider or another provider
22 Employed (part-time or short-term)
99 Not known
4. Evidence requirements
4.1 The Traineeship Learner Destination form has been produced to ensure consistency within the network on the evidencing of destinations. This form must be completed for all positive measurable progressions. In some cases further evidence is required to support the destination, please refer to the Traineeship Learner Destination form and Guidance for completion which identifies these requirements. You should not update LP79 until the evidence is available to support the positive measurable progression.
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5. Audit of positive measurable progressions
5.1 LLWR field LP79 and supporting evidence (including the Learner Destination – Traineeship form) will be included in reviews undertaken by the Welsh Government’s Provider Assurance and Governance Service (PAGS).
5.2 PAGS may issue guidance on the minimum standards to ensure evidence is authentic and robust and this guidance may change from time to time.
6. Examples of evidence to support code 20
Long term sickness
6.1 You will need to have evidence available that the learner has left the programme due to long term sickness. Learners would have exhausted any eligible periods of authorised leave. You must hold MED 3 ’fit/unfit notes’ as evidence.
Pregnancy
6.2 Pregnancy is not a reason in itself for the learner to leave a programme but can be a reason for not progressing. You will need to have evidence available that the learner has not been able to progress due to pregnancy. Examples of evidence include:
an authenticated statement from the learner; or
a review documenting the learner is not able to progress due to pregnancy
Death
6.3 This would have been recorded by you in LP41 (code5).
Custodial sentence or remand in custody
6.4 You will need to have a record of how you became aware that this was the reason for the learner leaving the programme.
Moved out of Wales
6.5 You will need to have evidence available that the learner has moved out of Wales and is not able to continue with learning funded by the Welsh Government. (This does not include moves within Wales; you should manage a transfer to another provider if you are unable to continue delivering the learning). Examples of evidence include:
a statement by the learner confirming this is the case; or
review documenting the learner is moving out of Wales and is unable to continue with his/her learning programme
6.6 If you have supporting evidence which is not identified within these Guidance Notes please e-mail [email protected] with the details and a response will be provided on whether the evidence is acceptable.
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3. EUROPEAN FUNDING COMPLIANCE GUIDANCE
A. Introduction
A1. Work Based Learning Programmes (WBL) are part funded through European Structural Funds (ESF) Programmes. This guidance contains the current requirements for WBL providers, in respect of ESF funding for contracts for 2015-2019.
A2. Providers are required, as a part of their contract with the Welsh Government, to comply with the requirements of any European Funding awarded to support the programmes.
A3. The compliance requirements apply to the contract holding organisations, consortium members and all subcontractors.
B. European Social Fund Publicity Requirements
Introduction
B1. This section should be read in conjunction with the WEFO Information and Publicity Guidelines 2014-2020 which can be found at:
http://gov.wales/funding/eu-funds/2014-2020/delivering-your-project/publicity
B2. European Union rules relating to ESF projects require that proper regard is given to publicising the financial support from the ESF. This means that participants/ learners, delivery partners and the general public are made aware that the programmes are part funded through the ESF. The support must be acknowledged on programme paperwork, inside or outside buildings, and in any interaction with press, media or the general public. This section sets out the minimum publicity requirements of the funding programme.
Forms and Paperwork
B3. Any forms (paper or electronic) that are used for collecting and/ or recording project information must have appropriate logos and/ or straplines that acknowledge the support from European Funds.
Use of ESF Logo and Publicity Statement
B4. The following must include the ESF logo in colour:
Websites/pages (homepages and WBL specific pages);
E-mail publications;
E-newsletters;
E-mail signatures of ESF funded staff;
Hard copy/paper documents where colour is used anywhere else in the document.
B5. Black and White logos can be used for the following documents where colour is not practical/possible, but only where the document is being produced entirely in black and white:
Guidance documents (unless online);
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Award certificates where not externally sourced;
Marketing leaflets and any pre-recruitment forms (NB: where entirely black and white);
Registration/enrolment forms confirming learner details;
Individual Learning Plans (ILP), Activity records and review forms (each review);
Award and completion forms;
Change of circumstances forms;
Evaluation/ follow up forms;
Letters, acknowledgement slips, business cards;
All equivalent forms used by sub-contractors and consortia members;
Any other paper format documentation linked directly to WBL programmes.
Using Welsh Government Provided Templates
B6. Welsh Government provides some templates of forms for providers to use. Using these forms will ensure that you collect the necessary data and that you use the current WEFO approved ESF logo and publicity text. The Welsh Government approved templates will be posted on the Welsh Government WBL web-pages.
Use of Providers’ own forms
B7. Where Providers choose to use their own hard copy documentation instead of the template forms provided, the Provider will be required, as a condition of funding, to include the ESF Logo and publicity statement (as above). The SME4 forms that are referred to later in this document must also contain the Welsh Government and ESF Logos.
B8. The following statement (confirming that the learner has been informed that their learning programme is supported by the ESF) must be clearly identified on both (a) the participant’s registration/ enrolment document and (b) the ILP for WBL programmes (including Jobs Growth Wales):
B9. ‘In signing this form I am confirming that I have been made aware that the learning I am undertaking is part financed by the European Social Fund through the Welsh Government.’
ESF Logo in correct colour and size formats
B10. The ESF logo must be displayed according to the WEFO Information and Publicity Guidelines 2014-2020.
B11. A sample logo is also on the cover page of this document.
Verbal Notification of ESF Support
B12. In addition to the above written acknowledgements, it is also a requirement of funding that Providers verbally make all learners aware of the support provided by the ESF towards their programme of learning, at their point of registration/ enrolment.
ESF Publicity in Marketing Materials
B13. It is a requirement of funding, that all published marketing materials related to any of the commissioned Welsh Government WBL programmes, include acknowledgement of European funding. This requirement includes Provider letterheads, email signatures, and compliment slips, press releases, event materials and promotion literature. As a
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minimum, the latest ESF logo as shown above must be incorporated into the literature. Providers must also use the following phrase in all formal correspondence with learners. “Mae'r Rhaglenni Prentisiaeth, Hyfforddeiaeth a Thwf Swyddi Cymru, a arweinir gan Lywodraeth Cymru, yn cael cymorth ariannol gan Gronfa Gymdeithasol Ewrop”.
“The Apprenticeship, Traineeship and Jobs Growth Wales Programmes, led by the Welsh Government, are supported by the European Social Fund”.
Provider Website
B14. Provider websites must clearly acknowledge the funding received from ESF. Please see WEFO Information and Publicity Guidelines 2014-2020 for guidance on how you should use the EU logo on your website.
ESF publicity plaques
B15. Providers are required to display an ESF publicity plaque. The plaques can be obtained free of charge from the Welsh Government upon request via [email protected]. Providers must have at least one ESF publicity plaque in a visible position at each relevant venue where WBL training takes place plus any main training provider office (if different) and always positioned to provide maximum visibility by the general public and learners.
Other Publicity
B16. Providers are required to acknowledge the ESF funding, provided through the Welsh Government in any presentations, speeches or articles for conferences, newsletters or presentations.
B17. The WBL European Funding Team are always welcoming of positive news stories from providers to highlight the contribution that the ESF is making in Wales.
ESF Publicity Portfolio
B18. Providers are required, as part of their WBL contract, to retain a file of specific evidence of ESF publicity.
B19. These might include marketing materials, presentations, speeches, newspaper articles, letterheads, email signatures, photographs of ESF plaques at various Provider learning sites and premises, and any other examples of such publicity that the Provider has undertaken.
B20. Whilst auditors will retain the right to verify processes and systems on the ground, the ability to provide this publicity evidence portfolio to an auditor immediately on request can help to reduce the likelihood of more detailed system verification by ESF auditors because your paperwork will demonstrate that you are collecting the relevant data, and are meeting the ESF publicity requirements.
Europe Day - 9th May
B21. The European Union, in offering Wales ESF funding, requires that Europe Day (May 9th) is recognised/marked by ESF projects and their partners. To help ensure this requirement is met by Providers, the Welsh Government will contact Providers to seek involvement in activities supporting the recognition of the benefits of the ESF in and around Europe Day. Providers are required to take reasonable steps to participate
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including ensuring all learners in learning on that day are made aware of Europe Day and the role of ESF in their programme of support.
C. Avoiding Double Funding
C1. The purpose of this section is to help Providers avoid double funding/counting between different European Projects.
C2. The Welsh Government anticipates that it will draw down ESF grant to support WBL programmes. It is essential that Providers do not attempt to attract ESF grant towards the same programme costs/activities/outcomes. Costs associated with learner time, activity or outcomes which form part of the delivery of the Welsh Government’s WBL programmes must not be counted towards any other European Union funded projects.
C3. Providers must not treat contract payments received (in relation to WBL programmes) as Match Funding toward other/ local European Union projects.
C4. Any payment either intentionally or inadvertently made by WEFO to a Provider for any activity already undertaken under a mainstream WBL Agreement and funded by the Welsh Government would represent double funding.
C5. The following explains in more detail the circumstances that are most likely to arise, and seeks to assist Providers to identify where a risk may exist. Where there is any doubt the Provider should contact Welsh Government via [email protected].
C6. Double funding may occur when:
Payments made to Providers by the Welsh Government in respect of its WBL programmes are used or counted by the Provider as match funding towards other European projects;
Costs incurred by a Provider in delivering Welsh Government WBL programmes are included in other ESF projects as actual project costs;
The same learner is counted in more than one ESF project, for the same activities, outcomes or costs.
However:
A learner who is undertaking a WBL programme either in employment or in centre based provision, may also undertake an entirely separate programme of ESF supported learning e.g. a specific language course or IT training in evening classes, where that additional learning is not a part of and is not being reported as part of the learner’s WBL programme claims and returns via LLWR.
C7. The Welsh Government does not object to the additional learning, provided:
The additional learning does not detract from completion of the WBL programme or progression from it by the learner;
The additional learning is not already a requirement of the WBL programmes specifications for that WBL programme (and thus already funded);
The Welsh Government will not provide match funding certification or costs towards the additional activity (relating to other ESF projects).
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C8. Outcomes achieved and costs incurred by WBL and additional learning programmes remain distinct, separately measureable and can be demonstrated as complementary not duplicative.
C9. Where a learner completes their time and activity on a Welsh Government WBL programme and has left the WBL programme, the learner may progress onto a further ESF supported programme (e.g. further learning, job search etc. including a further WBL programme where deemed appropriate and as governed by WBL programme rules).
C10. For further advice and guidance, please contact Welsh Government via [email protected] to clarify individual circumstances.
D. Information Assurance
Introduction
D1. Contractors are responsible for ensuring that their consortium members and sub-contractors comply with these requirements.
D2. Contractors are responsible for ensuring that externally hosted digital systems and external paper record keeping used for WBL comply with these requirements by including them within the scope of the Information Security Management Systems (ISMS).
D3. WG will check that these arrangements are in place and are effective.
D4. Contractors should comply with the rules set out in the Welsh European Funding Office’s (WEFO’s) Eligibility Rules and Conditions for Support from the European Structural Funds 2014-2020. These national rules cover document retention, document formats and eCohesion.
D5. Some of the requirements set out in the programme specification say that a solution is “likely” to be acceptable. This seems vague but arises because being acceptable depends on more than just the chosen technical solution; it is also necessary to have the right combination of policies and procedures in place.
Additional Guidance
For example, creating an audit trail which demonstrates that data are authentic by making a learner log in using their ID and password and then confirm the data must be combined with a policy which says that learners must not share IDs and passwords and sets out the sanctions if learners don’t abide by the policy. Controls A.9.1 “Access Control Policy” and A.9.3 “User responsibilities” might be of most value in these circumstances.
Overall Requirements
Accepted Security Standards
D6. Each Contractor must demonstrate compliance with the ISO27000:2013 (Information Technology – Security Techniques – Information Security Management Systems) series of standards, particularly ISO27001:2013. This requirement is based on EU Regulations (EU 1303/2013 Article 140(6)) and Wales European Funding Office (WEFO) European Structural Funds (ESF) Rules.
Additional Guidance
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For example, creating an audit trail which demonstrates that data are authentic by making a learner log in using their ID and password and then confirm the data must be combined with a policy which says that learners must not share IDs and passwords and sets out the sanctions if learners don’t abide by the policy. Controls A.9.1 “Access Control Policy” and A.9.3 “User responsibilities” might be of most value in these circumstances.
D7. The Information Assurance for Small and Medium Enterprises (IASME) standard (as a management standard for information security) may be used any sub-contractor or consortium member which:
is an independent business, managed by its owner or part-owners and having a small market share, and either
has 9 or fewer employees, or
is responsible for 25 or fewer learners at any one time
D8. These criteria for IASME attempt to minimise the impact of gaining and maintaining compliance with a security standard and to minimise the amount of learner data potentially at risk.
D9. Compliance with IASME instead of ISO27001:2013 must be agreed with the Contractor and with the WG and must demonstrably ensure that all information processed under the contract is authentic.
D10. Sub-contractors, typically small sub-contractors (see paragraph D7) may use the Information Security Management System and management information system implemented by their parent Contractor to minimise the overhead of achieving compliance with an accepted standard.
Additional Guidance
The range of sizes and capabilities of sub-contractors is a valuable factor in delivering learning, but it may also mean that sub-contractors find that implementing and maintaining compliance with ISO27001:2013 in their own right is an overhead which cannot be carried. In such circumstances WG suggests that Contractors and their sub-contractors work together to consider whether sheltering the sub-contractor under Contractor’s ISMS or negotiating agreement to comply with IASME would be a more effective arrangement.
D11. Contractors must demonstrate compliance for the first time by 29 September 2017 and must maintain compliance thereafter. Until Contractors demonstrate compliance they must continue to:
acquire and maintain records on paper and may not adopt digital-only systems
apply the security controls set out in the WBL4 PQQ IA Questionnaire and in “Specific Requirements” below
D12. Compliance is required for all aspects of WBL information management and processing. Contractors may extend compliance beyond WBL to other parts of their business or incorporate WBL into an existing ISMS. WG will only check that the arrangements for WBL are in place and effective.
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D13. Compliance with the ISO standard supersedes the requirements found in the WBL4 Prequalification Questionnaire on Information Assurance.
D14. Contractors must comply with all applicable EU and UK Law.
Paperless – Digital Only Operation
D15. Before WG will agree that new records no longer need to be held on paper, WBL Contractors, their consortium members and sub-contractors, must demonstrate:
i. compliance with what the European Common Provision Regulations EU 1303/2013 describe as “accepted security standards” for systems in which born digital data are held, and
ii. that all data, information and evidence required by the programme specification and guidance are held digitally, are authentic and can be accessed by WG, WEFO and the EC when needed for inspection, investigation, verification or audit
D16. WG will agree that individual Contractors may begin digital only operation after they have demonstrated to WG’s satisfaction that they have met the two criteria. Contractors need not wait for all Contractors to have demonstrated compliance, but they must ensure that the whole contract, including aspects delivered by sub-contractors, meets these two requirements.
D17. Existing paper records are subject to the current arrangements for retention and disposal; they can be managed under the ISMS but must be retained on paper according to the retention schedule.
D18. WG recognises that in some circumstances the collection of new paper records may be necessary (for example, as a transitional arrangement to meet a new requirement before digital systems can be enhanced). In such circumstances a mixed approach is acceptable but the documents originating on paper must remain on paper.
Specific Requirements
Introduction
D19. This section sets out requirements for information assurance that are not a natural part of the ISO27000:2013 standards or where WG intends that Contractors demonstrate specific arrangements in their ISMS.
D20. Compliance with these requirements will be assessed.
Cyber Essentials Plus
D21. A Cyber Essentials Plus (CESPlus) certificate is a mandatory requirement for all contracts through which Welsh Government information is processed by a Contractor. Please note that the certification is time bound and must be refreshed prior to expiry.
D22. It is good practice for WBL Contractors to include the CESPlus controls in the scope of their ISO27001:2013 ISMS. However, Contractors must have CESPlus certification for work based learning processes and procedures.
Passwords
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D23. Where passwords are used to protect assets they must meet National Cyber Security Centre (NCSC) guidance and in particular must:
Be created and managed in ways that are consistent with National Cyber Security Centre (NCSC) Guidance
Be protected to the same extent as the information which they are intended to protect
Never be shared
Be changeable by the user in a way that prevents repetition of or variations of previous passwords
D24. Shorter and less complex passwords, for example four digit PIN codes, are not acceptable.
D25. Contractors should consider the use of two factor authentication for sensitive operations to minimise the impact of password compromise.
Encryption
D26. All digital information and data must be encrypted in transit. Data at rest must comply with industry standards (SQL TDE for data at rest on servers).
D27. In particular, personal or sensitive data being sent by email must be encrypted. Welsh Government uses Egress Switch for encrypted emails.
Additional Guidance
Egress Switch (www.egress.com) is a commercial product for encrypted web mail. Recipients use their normal work email address to receive notifications that an encrypted email has arrived and to create a free account through which they can log in and collect the email securely. Composing and sending emails needs a paid for annual licence.
Egress Switch is used by the spot check team for eligibility spot checks and for WEFO and EU audits.
D28. Encryption must comply with the FIPS 140-2 or AES 256 standards and any passwords used to protect encrypted materials must comply with the requirement for passwords.
Additional Guidance
This specification does not list products which provide adequate encryption. Contractors have the latitude to select products according to their business needs and may select products which comply with the standards when appropriately configured.
Contractors should conform to any available NCSC guidance on product configuration. They should bear in mind that NCSC’s guidance will state the classification of the information that may be processed once a product has been appropriately configured. A product configured for OFFICIAL must not be used for information of greater sensitivity.
Information Sharing
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D29. The Learner and Employer must provide authenticated confirmation that they consent to their information being shared. Information may be shared between WG, Contractors, sub-contractors, consortium members, employers, third party organisations for evaluation and audit purposes and other organisations mentioned in this programme specification by following the arrangements set out in this programme specification. These arrangements include the requirement to protect information in transit by encrypting it and to ensure that data being shared are adequate, relevant and not excessive.
D30. Information may also be shared using online services (e.g. the Learning Records Service) to automate business processes (for example, acquiring evidence of a learner’s highest qualification to show that they meet the eligibility criteria for joining a programme of learning) provided that the terms and conditions of the service set out adequate arrangements for protecting the information being shared and the amount of information being shared is minimised.
D31. In all other circumstances, information may only be shared once an information sharing protocol has been agreed between the parties sharing the data. Agreement by WG is also required for information for which WG is a data controller; the explicit agreement of the WG Information Asset Owner for WBL is required.
Additional Guidance
Contractors may wish to consider the Wales Accord on Sharing Personal Information (WASPI – www.waspi.org) as a tried and tested framework for information sharing protocols.
Use of Mobile Technology
D32. The use of mobile technology has specific controls in ISO27001:2013.
D33. To avoid concerns about data protection when collecting data as images on laptops, mobile phones or tablets Contractors should note that:
We require Contractors to retain evidence and to comply with the programme specification, guidance and relevant laws (which include the DPA/GDPR)
In particular, we expect that Contractors will comply with the security sections of this specification and Principle 7 of the DPA (which says that appropriate technical and organisational security measures must be taken) or similar obligations under the GDPR.
D34. Using images applies to ordinary digital cameras and those in laptops, mobile phones or tablets. With this in mind we expect:
Staff would use devices issued by their employer for business use only (not their own mobile phones)
Mobile devices are appropriately protected and managed (see D26 to D28 )
Photographs would be downloaded (and, if necessary, redacted) quickly and not left on phones
Photographs would be stored securely for the duration of the retention period
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D35. While the requirement to gather and retain evidence has been set by the WEFO Eligibility Rules and Guidance and the WBL Programme Specification neither sets out a technical solution nor a business process for Contractors to adopt; Contractors should devise and follow processes which comply with the points above and which work well for them.
D36. If necessary, Contractors should take their own professional advice.
Records Retention – General
D37. All records (see D43 and D44), whatever their medium, must be available for inspection, verification or audit until they have been properly disposed of at the end of their retention period (see D39 to D42).
D38. Contractors must report the location of all records to Welsh Government; Welsh Government will conduct a survey of Contractors annually.
Records Retention – Duration
D39. All records, whatever their medium, must be kept until WG notifies Contractors that the records may be disposed of.
D40. For programmes starting before 2014:
WEFO Rules set out their requirements for records retention and these are reflected in this and earlier programme specifications sections for each programme
The dates that WEFO gives in its Rules are earliest date they anticipate for disposal and allow beneficiaries to make plans for retention
The actual date will be announced by WEFO and depends on the EU closing the programme. This means that the EU will tell WEFO when it will no longer want the records for audit, WEFO will tell WG, and WG will tell Contractors
D41. For programmes starting in 2014 or later:
The WBL 4 programmes will end in March 2019 with the exception of Apprenticeship programme which will end in July 2020. The ability to submit claims for eligible expenditure then continues for 7 months for Contractors and for 12 months for WG
The retention period is two calendar years from the 31 December that follows the inclusion of the final eligible expenditure that signifies the completion of the operation
WG may still need to retain documents for a longer period if required by the applicable State aid rules or if audits or investigations are underway and has been specifically advised to retain the audit trails until further notice
The actual date will be announced by WEFO. This means that WEFO will tell WG, and WG will tell Contractors
D42. For all programmes:
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Contractors must follow a process for disposal that allows them to demonstrate that the records have been disposed of properly (for example, they could create and keep a certificate of destruction which lists the individual files destroyed)
Records should not be kept forever
Put another way, the dates given are “do not destroy before” dates. They are not “destroy on” dates.
Records Retention – What to Keep
D43. The Contractor must retain authenticated information sufficient to verify:
Evidence of information on learners supported and of learning/ activities undertaken, including achievements, outcomes and next destination of learners
Recruitment, training and review services and any other support provided to the learner by the Contractor
All information and data collected, stored and reported to the Welsh Government with respect to the Agreement
Audit visits and corrective actions undertaken
Any additional specific information as specified in the Guidance on the Evidence Requirements for WBL, or any cited in the Programme Specification, that have not been covered in this guidance [PAGS]
Delivery of each sub-contracting arrangement including all information listed above
D44. Important points of detail:
When retaining the above information, the Contractor must not seek to differentiate between learners / activities supported by ESF and any other learners / activities
Where carbonated paperwork is used, the Contractor must ensure that they retain the top copy (i.e. the ink signature version)
Where Contractors enter into either administration or liquidation, then at the WG’s discretion, the Contractor is contractually bound to pass the relevant records on to the Welsh Government
WEFO and other ESF Auditors conduct quarterly audit reviews and will select samples from learner records
Non-compliance with WG requirements outlined herein may result in recovery of sums paid
Obsolescence – Digital Continuity
D45. Contractors must ensure that the information they hold on behalf of WG remains accessible and usable for the duration of its retention period.
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D46. Contractors should bear in mind that the short period available to provide information which is required for audit (5 days) leaves little or no time for discovering and remedying any problems caused by holding information in formats that are no longer accessible.
D47. Contractors must ensure that any arrangements for digital continuity also preserve any data needed to demonstrate authenticity.
Contingency Planning and Disaster Recovery
D48. Contractors must have contingency plans in place for WBL information management and processing. They must be able to demonstrate that these are effective by providing records which show that the plans have been exercised.
D49. The plans should explicitly cover the loss of a sub-contractor or consortium member.
Data Loss
D50. Contractors must report security incidents affecting or likely to affect data processed under this contract to their WG provider performance manager within one working day of becoming aware of the incident. Contractors may use Egress Switch as a secure means of exchanging information about an incident using the address [email protected]. Contractors should cooperate with their WG provider performance manager and specialist WG staff and share information without undue delay.
D51. The contractor must have systems in place to ensure that they are diligent with the personal data of learners. In situations where a learner is at risk of identify theft due to lost data or lost or misplaced paper records, the provider must encourage the learner to register with Credit Industry Fraud Avoidance Service (Cifas) at https://www.cifas.org.uk/pr, the cost of which must be paid by the provider. Further, providers must ensure that the Information Commissioner’s Office is notified promptly (see https://ico.org.uk/for-organisations/).
Authenticity
D52. The programme specification uses the term “authenticated” whenever there is a requirement to prove that information is:
Of undisputed origin and not a copy; genuine
Based on facts; accurate or reliable
D53. This is usually for information which is needed for scrutiny, investigation or audit.
D54. Authenticity is partly about operating processes designed to guarantee authenticity and partly about gathering metadata which demonstrates that those process (and only those processes) have taken place.
D55. Contractors should ensure that the information they process is demonstrably authentic.
D56. Contractors should ensure that any digital systems maintain accurate and reliable records. For example, if they record date, time, location or identity to help authenticate a record they should record the actual date, time, identity or location for the record’s creation. When connectivity permits, the authenticating record should be created at the same time as the record it authenticates; it should rarely be created later.
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D57. For a standards-based approach, BS 10008:2014 and its three codes of practice3 set out a comprehensive approach to establishing and maintaining the authenticity of information well enough to satisfy the courts (referred to as “legal admissibility”).
Additional Guidance
Common characteristics of authenticity for all media include:
• Clear links between each accounting record and its supporting documents • Tamper proof (or at least tamper evident with mechanisms to alert staff when
tampering has occurred)
• Authorised deletion leaves a permanent record that deletion took place
• Unauthorised deletion or replacement is prevented
• Version controlled with the ability to see previous versions (subject to the need to redact information according to clear rules)
• Complies with DPA and from 25 May 2018 GDPR requirements (see Annexe A)
• The process used to determine authenticity creates a record of each check and these records can be interrogated alongside the original data/evidence (e.g. a record showing that the system has authenticated the submitter of new claim data by making them login using a user id and password that are subject to agreed policies and procedures)
• The processes used to acquire data and metadata are reliable and repeatable
For digital data and metadata these also include:
• Data originated in an external system that is accepted as authoritative (e.g. GOV.UK Verify, LRS, Careers Wales)
• Data entered into the system by an individual who is trusted and has previously been authenticated by someone else who has already been authorised
• Data protected in transit by strong encryption to at least FIPS 140-2
• Computer to computer data transfers ensure that both computers are what they claim to be by exchanging and checking digital certificates (X.509)
• Person to computer exchanges use known login using ID issued by system manager and protected by password or two factor authentication (may need assurance for individual that they’re logging into the right computer)
On paper they also include:
• Recognisably what it’s supposed to be because it complies with the specification for the type of document (e.g. that the document really is a UK Passport)
• Recognisably signed and dated by an individual that is already known and trusted
3 The codes of practice are BSI BIP 0008-1, -2, -3
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• Copied in a way that’s tamper proof (or at least tamper evident) (BS 10008:2014)
Signatures
D58. Manuscript signatures, with dates, are an acceptable means of authentication for information held on paper.
D59. Experience of European audits shows that if manuscript signatures cannot be deciphered and the signatory’s name identified, claims are sometimes disallowed by ESF auditors. Therefore, all signatures (of learners, employers, or representatives of the Contractor) must be accompanied by the full name of the individual signing the document and the date on which it was signed.
D60. Manuscript signatures in an electronic form (for example scanned images of manuscript signatures) are of little value in authenticating digital records and are therefore not accepted. They are too easily copied and abused. Modern digital systems offer far better approaches to authentication. Some possibilities are discussed in the Guidance Notes.
Additional Guidance
There is a wide range of digital equivalents to “signed and dated”. These are developing quickly as technology advances
Records created following login with an individual ID and password are likely to be acceptable. For example, the record of a progress review is likely to be acceptable if the learner has had to login with their own ID and password in order to mark it as “agreed”.
Practical methods which record additional data about an element of the learner’s record – metadata – will be useful in establishing authenticity. For example, a solution which automatically records the date, time and location of a periodic progress review together with the assessor’s ID and keeps these in an unalterable form will be useful. The value of such controls may best be established as part of the risk assessment for the provider’s ISMS.
For particularly significant records, Contractors may consider the use of two factor authentication. For example, the conclusion of learner sign up might require that the learner login to the Contractor’s systems and enter a code sent to their mobile phone.
Other examples can be found among common commercial sign up and password change mechanisms which involve an exchange of eMails (validating the eMail address) and special web page links
Digital certificates are especially useful for authenticating exchanges of data between computer systems.
Preferred Media
D61. All media are acceptable, but choice of medium should bear in mind the preference for digital and for originals. The order of preference for Work Based Learning, from most preferred to least, is:
Born digital (held in a system that meets accepted security standards)
Certified digital scans of original paper
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Original paper
Copied and certified original paper
Data Protection Act / (from 25 May 2018) General Data Protection Regulation– Roles
D62. Contractors must, as a matter of law, comply with the General Data Protection Regulations/ Data Protection Act, especially GDPR articles 5, 6 and 9 / the DPA Data Protection Principles.
D63. In order to comply with the WBL contract and the European funding guidance, the Welsh Government requires Contractors to supply individual Learner information to validate the support given. As WG determines the purpose and the manner in which the personal data are processed, then the Welsh Government is the Data Controller for this information.
D64. Contractors also collect individual personal data for which Contractors are solely responsible. This means that Contractors are Data Controllers in their own right.
D65. Contractors must ensure that their employees understand the Contractor’s data protection/ General Data Protection Regulation responsibilities and that any employees whose role involves contact with learners (especially those involved in signing up learners) can explain the fair processing notice and how this complies with the GDPR/ DPA.
Data Protection Act / (from 25 May 2018) General Data Protection Regulation– Fair Processing
D66. The GDPR/ DPA require data controllers to provide fair processing information to data subjects (data subjects include learners, the Contractor’s employees and employer’s staff).
D67. WG has developed a fair processing notice (aka privacy notice) which covers its role as a data controller and Contractor’s role as data controller with the assistance of Contractors and learners. WG requires that this notice (or a notice which provides at least the same information) to be given to each learner and sufficient support to be provided for all learners to be able to understand the notice and, where necessary, give informed consent to their data being processed.
D68. The LLWR privacy notice should also be given to learners. For all Work Based Learning programmes providers would be required to capture learner/ participant confirmation, duly authenticated, that they have read and understood the LLWR Privacy Notice as part of the enrolment process.
Data Protection Act/ (from 25 May 2018) General Data Protection Regulation – Adequate, Relevant, Not Excessive
D69. Contractors are expected to exercise care when deciding what data to collect and share, particularly when making copies of key personal documents (for example, as evidence of eligibility). In particular, they must take care to comply with article 5 of the GDPR, (before 25 May 2018) data protection Principle 3) which requires that all personal data being
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processed are adequate, relevant and not excessive for the purpose for which they are being processed.
D70. When source documents contain more information than needed Contractors must ensure that any excess information is redacted effectively.
Additional Guidance
The eligibility evidence requirements first published in December 2014 and subsequently updated set out the eligibility checks to be completed and documented for each learner, describe the forms of evidence that are acceptable and the reason for collecting the evidence.
For example, a learner is eligible if they have the legal right to live and work in the UK. For this, Contractors might examine a learner's passport and make a copy of it which they retain.
This allows Contractors to demonstrate that they have complied with the rules on learner eligibility. However, Contractors must also comply with the DPA which says that the data you collect and keep must be "adequate, relevant and not excessive". This means that you must copy enough information but no more. To be useful evidence, your copy must clearly show:
• What the document is and that it is genuine
• The identity of the learner
• The details that demonstrate eligibility
So a copy of a learner's passport, used to show right to live and work, should only be of the "biodata" page (the page with the photograph) with any stickers conferring the right to work on following pages and omit the learner's date of birth, sex and place of birth and omit the date of issue (you need expiry as the passport must be in date or recent). If you also need proof of the learner's date of birth, you could leave this data visible too, and you wouldn't need to see a birth certificate.
The same approach to deciding what to retain applies to all other forms of evidence.
Contractors should not keep the un-redacted data; it's easiest to never collect the information you don't need.
Data Protection Act/ (from 25 May 2018) General Data Protection Regulation– Technical and Organisational Security Measures
D71. Contractors are expected to exercise care when processing all personal data. In particular, they must take care to comply with data protection Principle 7/ the General Data Protection Regulation article 5 which requires that all personal data being processed that ensures appropriate security of the personal data, including protection against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures.
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Assessing Compliance
Introduction
D72. WG recognises a difference between internally determined compliance and externally verified certification. It is possible to demonstrate compliance without having to take the further step of gaining certification as an organisation.
Additional Guidance
WG is likely to ask for less evidence if a Contractor has achieved certification than if they are claiming compliance. Externally verified certification is likely to have checked almost all that the EU Regulations require and WG is likely to accept that a certificate covers most of what it would examine when assessing compliance. It would therefore only check, for example, that the ISMS scope covered WBL data and processes and that the requirements of Section 3 were being met.
D73. WG requires Contractors to demonstrate compliance with standards. This means that Contractors must put in place all the elements of an information security management system required by clauses 4 to 10 of ISO27001:2013, tailored to the needs of their organisation according to Clause 4. Compliance with Clause 9 will give internal assurance that all the elements are in place and being operated effectively and that appropriate evidence is available when the Contractor has to demonstrate compliance.
D74. WG does not require Contractors to demonstrate formal certification to the ISO standard awarded by an external body. Each Contractor can make its own decision on whether to achieve certification based on its own business strategy. WG will accept certification as evidence of compliance provided that the ISMS scope clearly covers WBL and responses to non-conformities and continuous improvement are being actively managed.
Assessing Information Assurance Arrangements
D75. Contractors must demonstrate compliance with ISO27001:2013 and the specific requirements above at least annually. As evidence of compliance WG may ask Contractors for:
Any mandatory documents or records required by the standards including those generated by internal audit activity (ISO27001:2013 Clause 9)
On the spot demonstrations that the policies, procedures and controls are being complied with effectively and that there are no non-conformities
responses to non-conformities and continuous improvement are being actively managed
ISO27001:2013 or IASME Certificate
External assessments of security arrangements (e.g. penetration testing) or ISMS
IASME self assessment preparation questionnaire
Evidence that the specific requirements in Section on Specific Requirements are being met
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D76. Contractors must ensure that similar evidence is available in order to demonstrate that compliant information security management systems are being operated by Contractors’ consortium members and sub-contractors.
D77. Welsh Government will check Contractors’ compliance for the first time during the 2016/17 contract year (see D11) and then annually. Contractors may choose a point during this contract year when they believe that they are ready for assessment and approach the WBL Information Assurance Project team to arrange for assessment. The first check will be a certification audit; subsequent checks are likely to be surveillance visits.
Additional Guidance
“Certification audits” examine the mandatory documents and records that make up an ISMS and are intended to establish that a fit for purpose ISMS has been designed and is in place. Certification audits can be repeated until compliance has been demonstrated to WG’s satisfaction. In the WBL context, “certification audit” is synonymous with assessing compliance.
“Surveillance visits” are intended to show whether the ISMS is effective and up to date. They are likely to look at any minor non-conformity identified during the certification audit and then to look at what Contractor staff are actually doing (as opposed to what the ISMS says they should be doing).
E. Provider Responsibilities and the Management of sub-contracting risks
E1. It is the responsibility of the Contract Holder to ensure these standards are met by all Consortia Members and sub-contractors. It is also the responsibility of the Contract Holder to ensure that all sub-contractors and consortia members adhere to the ESF requirements contained in this document.
E2. The Provider must undertake a risk assessment when sub-contracting. In all instances where a sub-contract relationship exists, the Provider must enter into formal agreements with sub-contractors.
F. Confirmation of an Employer’s SME / Large firm and public or private sector status
F1. For European funding purposes, employers of apprentices/ JGW participants must confirm their status as either a SME (i.e. small and medium enterprise) or a Large Firm, and whether they are a public body or not. The Welsh Government has to comply with rules which govern the use of ESF funding to train public sector workers at level 3 or above, and confirm SME status and employer size. The Welsh Government is also required to differentiate learners employed by SME from those employed by large firms - using the European Union official definition of an SME.
F2. Providers must confirm the number of employees and the private or public sector status of participant employers.
F3. The SME4 form is NOT required for work placement providers under the WBL non-employed programmes such as Traineeships. (NB: This is because the “employer” participation in these programmes is as a “work placement provider” and not as an employer).
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F4. For Apprenticeships and Jobs Growth Wales, Providers are required to request, obtain and retain an authenticated SME4 form from each employer to cover every employed status learner/participant who is participating in a WBL programme. This includes learners who are participating in the Foundation Apprenticeship, Apprenticeship and Higher Apprenticeship programmes.
F5. To reduce bureaucracy, if an employer routinely sends five or six employees (as a group) into the Apprenticeship programme every 6 months, then that employer would be expected to complete one SME4 form for each group intake. Some employers may prefer to complete one SME4 form (all sections) for each learner/participant rather than one per group of learners/participants.
F6. The SME4 form lists the criteria from Parts A to F to determine SME status and includes the number of individuals employed by the employer organisation, its turnover, balance sheet, Public or Private sector status and independence from organisations which themselves fail to meet the SME definition. All such measurements will relate to the last period of audited accounts for that employer.
F7. The SME status/ large firm status of any employer would not prevent their involvement in any WBL programme operated by the Welsh Government. Learners/participants, who are employed by companies that do not meet the European Union definition of an SME, will continue to be eligible to participate in learning programmes, provided they meet the normal rules of that individual programme as defined in the WBL Programme Specification.
F8. The SME4 form should be obtained within 30 days from the start of the learner’s learning programme/participant’s job opportunity and the original must be retained by the Provider. There is no requirement for Providers to send the Welsh Government copies of the SME4 form, but it is vital that the:
1. SME4 form is retained for audit inspection by the Provider; 2. SME status of the employer is entered accurately onto the LLWR.
The existence and accurate completion of the SME4 form (and the entry of the information it contains onto the LLWR) will be monitored by the Welsh Government project officers and auditors.
The SME4 form can be found at the link below:
Welsh
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/learner-forms/?skip=1&lang=cy
English
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts-2015-to-2019/programme-specification-and-guidance/learner-forms/?lang=en
G. Cross Cutting Themes requirements
G1. The cross cutting themes for the 2014-2020 round of European Funding can be found at:
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http://gov.wales/funding/eu-funds/2014-2020/applying/cross-cutting-guidance/?lang=en
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H. Eco-Code guidance
Guidance for Training Providers:
H1. Training providers are asked to provide the following information and advice / guidance to their employers. This can be undertaken using this form directly, or by building it into Training providers’ own documentation.
Guidance for Employers:
H2. As a Company / Business participating in WBL programmes operated by the WG (including those supported by the ESF) e.g. as an employer of apprentices or Jobs Growth Wales participants in Wales, or as a training placement provider, we want you to be aware of the ECOCODE Action Plan toolkit (shown below)..
H3. You are encouraged to use this Action Plan Toolkit to the extent that it can be adapted by your organisation, if you would find it useful in supporting the development of your company and its interface with environmental sustainability issues. You are asked to consider adopting the attached ECOCODE Action Plan (below) to further support your existing actions in protecting the environment, as a means to document processes and corporate habits and policies you already undertake.
H4. Please be aware that it is a requirement of the WBL Agreement we hold with your training provider that they make you aware of the ECOCODE Action Plan Toolkit initiative. It is not a mandatory requirement that employers take up the use of the ECOCODE Action Plan but we may (as part of evaluation work) ask employers to confirm whether they did so or not (and please be assured that this will in no way affect your ability to continue to participate in WBL programmes).
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ECOCODE ACTION PLAN
Company Employer name :
I confirm that the following actions will be addressed by the above named company as part of our commitment to supporting environmental sustainability and protection. These actions will be taken into account during our operational year and will be reviewed at least annually as part of our corporate planning.
Signed: (and position in company)
Reduce, Reuse, Recycle
Eco-code
We will reduce, repair, reuse and recycle potential waste wherever possible.
Actions
1. Purchase items with low / zero levels of packaging 2. Recycle all materials used, including paper, metals, glass and plastic 3. Compost appropriate perishable items
Transport
Eco-code
We will try and encourage more environmentally friendly ways for you to travel when you come and see us! Likewise, organisation business will be conducted through the most environmentally sustainable mode of transport.
Actions
1. Reduce need for transport through the use of ICT 2. Utilise public transport wherever possible 3. Vehicle share wherever possible
Purchasing
Eco-code
We will buy products and materials that do not harm the environment when they are made or used or disposed of..
Actions
1. Purchase re-used / recycled products wherever possible 2. Purchase from environmentally-sound supplier organisation
Water
Eco-code We will save water wherever possible.
Actions
1. Turn off taps whenever not in use
2. Install water conservation measures such as time limited taps and ‘grey water’ recycling systems
Energy
Eco-code
We aim to lower energy consumption at the centre, and teach you about how to save energy.
Actions
1. Turn off all heating / lighting when not needed 2. Use heating controls to swiftly react to different daily heating needs 3. Install effective insulation, close all doors / windows in winter 4. Subscribe to a green energy company such as Good Energy that can source 100% green electricity
Biodiversity
Eco-code We will try and increase the biodiversity of the site and its surroundings.
Actions
1. Consult local wildlife groups on how to effectively encourage biodiversity and wildlife in your area
Raising Awareness
Eco-code
We will tell all our visitors and the general public about how we are looking after our environment and hope they do the same at home!
Actions
1. Place prominent notices and posters around the organisation premises 2. Provide information on website and in literature
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4. DATA SUBMISSION GUIDANCE
This guidance provides clear and concise data management principles for the Work-based Learning (WBL) sectors and to the users of the data recorded on LLWR.
The document sets out what is expected from providers in respect of:
Accuracy – to ensure data is submitted to the LLWR in the correct format as set out in the LLWR manual. To be correct, a data value must be the right value and must be represented in a consistent and unambiguous form.
Timeliness – to ensure data is submitted to the LLWR within the expected timeframe.
Integrity – to ensure that the submission and management of data is a true reflection of the learning delivered and the outcomes achieved by learners.
Completeness – to ensure all Learner (LN); Learning Programme (LP); Learning Activity (LA); and Award (AW) data sets have been submitted to LLWR.
Consistency – to ensure values are consistent across all datasets.
The Data Management Principles will be updated at least annually and can be found under the “Documents” section of LLWR-Inform.
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5. DESTINATION GUIDANCE (Traineeships)
Introduction
A1. Providers must make every effort to ensure they support the Learner to progress into a sustainable outcome. Welsh Government will undertake monitoring of learners who are recorded as progressing into higher level learning or employment but who subsequently re-enter the Traineeships programme.
Leavers from 1st January 2015
B1. From January 2015, Welsh Government will measure the destination of Learners within
4 weeks of leaving the Traineeships programme. This is in line with Welsh European Funding Office (WEFO) requirements.
B2. LLWR field i.e. LP79 is used to record this measure and inform positive progressions for
the learner outcomes report (LOR). Annex A provides detail on the definition, recording and evidence requirements for LP79.
Leavers before 1st January 2015
C1. LLWR field LP42 is required for Traineeship learners who left up to and including 31 December 2014. After this date it will be an optional field for Traineeships, for Contractors to complete if they wish to follow-up with Learners after the four week window.
Audit of positive measurable progressions
D1. Providers must ensure that LP79 accurately records the learner destination and for Traineeship learners it should not be completed until the evidence is available to support the code. There is no requirement for further follow-up however, if at a later date, you become aware that a progression did not occur you must amend your data accordingly.
D2. LP79 with supporting evidence, for Traineeship learners (including the Learner Destination – Traineeship form) will be included in reviews undertaken by the Welsh Government’s Provider Assurance and Governance Service (PAGS).
Annex A
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Destination and LP79 code/s
Categorisation (Positive, Negative or Neutral)
Definition/Criteria Evidence requirements Additional information
Further learning at a higher level -codes 15 or 19
Positive The further learning: - must start within four
weeks of the learner leaving the programme;
- must be for 16 hours or more per week (there is no stipulated duration);
- must be accredited within the Credit and Qualifications Framework for Wales (CQFW);
- must be intended to lead to an approved qualification at a higher level.
The Traineeships Destination form must be completed and one of the following must be available as supporting evidence: - declaration from ‘new’ provider; - e-mail / letter / admissions slip from
new provider which includes name of learner, start date and that the programme/course is accredited within the CQFW and is of 16 hours or more per week.
Progression from a Traineeships Level 1 strand to a Traineeships Bridge-to-Employment strand does not constitute a progression into further learning at a higher level. Transfers between these Traineeships strands should be coded 12 or 13 in LP41 and code 16 in LP79; these learners will then be excluded from the calculation for positive progressions for Traineeships Level 1 strand.
Employment /voluntary work – codes 13 and 21
Positive The employment / voluntary work: - must start within four
weeks of the learner leaving the programme;
- must be for 16 hours or more per week (there is no stipulated duration).
If a learner with learning difficulties and/or disabilities is progressing into supported employment the 16 hours rule does not apply.
The Traineeships Destination form must be completed and one of the following must be available as supporting evidence: - declaration from employer; - correspondence from employer /
voluntary organisation confirming the following details: learner name; name of company; job title; start date; and that the minimum hours requirement is met;
- employment contract; - latest wage slip.
Welsh Government is planning to review the types of voluntary work learners are entering and how these benefit the learner in the longer-term (for example has it led to the individual gaining sustainable employment?). The result of this review will inform the decision on whether voluntary work remains as a positive measurable progression in future.
Annex A
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Destination and LP79 code/s
Categorisation (Positive, Negative or Neutral)
Definition/Criteria Evidence requirements Additional information
Self-employment – code 18
Positive The self-employment: - must start within four
weeks of the learner leaving the programme;
- must be 16 hours or more per week (there is no stipulated duration).
The Traineeships Destination form must be completed and one of the following must be available as supporting evidence: - a submitted HMRC ‘SA302’ self
assessment tax declaration, with acknowledgement of receipt (SA302s can be requested from HMRC).(where first SA302 not yet submitted, other documentation to show that the trade / business activity is registered with HMRC for tax and national insurance purposes)
- records to show actual payment of Class 2 National Insurance Contributions;
- business records in the name of the business as evidence that a business has been established and is active / operating – lease on premises; purchase/ lease of equipment; publicity materials; business invoices; correspondence with Local Authority; legal correspondence;
- if registered as a limited company: Companies House records/ listed as Company Director
- confirmation letter from accountant
Annex A
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Destination and LP79 code/s
Categorisation (Positive, Negative or Neutral)
Definition/Criteria Evidence requirements Additional information
- VAT registration confirmation from HMRC.
Further learning at same or lower level – code 16
Negative The further learning: - must start within four
weeks of the learner leaving the programme;
- must be 16 hours or more per week (there is no stipulated duration);
- must be accredited within the CQFW.
The Traineeships Destination form (Annex B) must be completed and one of the following available as supporting evidence: - declaration from ‘new’ provider; - e-mail / letter / admissions slip from
new provider which includes name of learner, start date and that the programme / course is accredited within the CQFW and is of 16 hours or more per week.
Evidence is not necessary for learners who are coded as ‘transfers’ i.e. codes 12 and 13 in LP41 (these learners will be excluded from the calculation for performance measures).
The requirements for this field have been introduced to meet WEFO requirements. Where a learner is undertaking further learning and the requirements are not met code 09 i.e. seeking work/unemployed should be entered in LP79.
‘Other’ – code 20
Neutral ‘Other’ includes: - Long term sickness
(eligible periods of authorised leave or suspension would have been exhausted);
- Pregnancy;
Examples of evidence: - MED 3 ‘Unfit/ Fit notes’. A review documenting that the learner is not able to progress due to pregnancy; or an authenticated statement from the learner.
2. Pregnancy is not a reason in itself for the learner to leave a programme but can be a reason for not progressing.
Annex A
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Destination and LP79 code/s
Categorisation (Positive, Negative or Neutral)
Definition/Criteria Evidence requirements Additional information
- Death. - Custodial sentence or
remand in custody. - Moved out of Wales - not
able to continue with learning funded by the Welsh Government.
- This would be recorded in LP41
(code 5).
- A record of how the provider became aware that this was the reason for the learner leaving the programme.
- Review documenting the learner is moving out of Wales and is unable to continue learning programme; or a statement by the learner confirming this is the case.
Employed (Part-time) – code 22
Negative N/A N/A N/A
Unemployed – code 9
Negative N/A N/A N/A
Not known – code 99
Negative N/A N/A N/A
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Traineeships Learner Destination Form
Section 1 – Learner Details
Name:_______________________________________
LN01 [Unique Learner Identifier]:
LN02 [Learner Identifier with provider]
LP55 [Date terminated learning programme]:___/___/_____
LP41 [reason for termination of learning programme]: ________ LP79: Destination code: __________
Name of Provider:
Section 2 : Depending on LP79 code please complete as follows: Section A1 and either A2 or A3 for codes 15, 16 or 19 Section B1 and either B2 or B3 for codes 13 or 21 Section C1 and C2 for code 18
Please note where original supporting documents are required but cannot be retained, the original documents must be sighted, copies of which must be signed and dated as ‘I certify that this is a true copy’.
A1: Further Learning
Destination – same or different provider [LP79 codes 15, 16 or 19]
LA09 - Start date of new activity: ___/___/____
Type of learning programme (e.g. Traineeships Level 1, Foundation Apprenticeship, FE, etc.): ___________________
Name and level of main qualification: ___________________________
Name of new provider: ___________________ .
A2: Evidence from ‘new’ provider
Declaration:
I confirm that the learner identified in Section 1 has commenced a learning programme/course on ____________ (date) which is accredited within the Credit Qualifications Framework and is of 16 hours or more per week.
Provider Signature: ________________ Date: ___/___/_____
Name: __________________________ Position_________________
The new provider must sign and date the declaration. If the learner is entering a new programme of learning with the same provider the existing provider should sign the declaration.
A3: The following is also acceptable as evidence: e-mails / letter / admissions slip from new provider which includes name of learner, start date
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and that the programme/course is accredited within the Credit Qualifications Framework and is of 16 hours or more per week.
B: Employment / Voluntary Work [LP79 codes 13 or 21]
B1 Employer/Voluntary Organisation Details
Company/Voluntary Organisation Name: Tel. No:
Company/Voluntary Organisation Address:
Email address:
B2 Evidence from Employer/Voluntary Organisation
Declaration:
I certify that the individual named in section 1 has been offered employment/voluntary work which started on ___/___/_____ (please insert date), which is of 16 hours or more per week (N.B for learners with learning difficulties and/or disabilities who are progressing into supported employment the 16 hours does not apply).
Signature of Employer/Voluntary Organisation representative:
Name:
Date:
Position held:
B3 One of the following will also be accepted as evidence:
correspondence from employer/voluntary organisation confirming the following details: learner name; name of company; job title; start date; and that the minimum hours requirements is met
employment contract
latest payslip
C1: Self-employment – LP79 code 18
Date started self-employment:
Name of Business:
Nature of Business:
C2: Please obtain evidence of self-employment (one of the following): A submitted HMRC ‘SA302’ self assessment tax declaration, with acknowledgement of receipt (SA302s
can be requested from HMRC).
Where first SA302 not yet submitted, other documentation to show that the trade/ business activity is registered with HMRC for tax and national insurance purposes.
Records to show actual payment of Class 2 National Insurance Contributions.
Business records in the name of the business that evidence that a business has been established and is active/ operating – lease on premises; purchase/ lease of equipment; publicity materials; business invoices; correspondence with Local Authority; legal correspondence.
If registered as a limited company: Companies House records / listed as Company Director.
Confirmation letter from accountant.
VAT registration confirmation from HMRC.
Company Stamp
(if available)
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Frequently Asked Questions Traineeship Programmes Destinations
Employment questions
QE1 Employers are not always willing to complete the learner destination form, are there other forms of evidence which are accepted?
AE1 Other forms of evidence are acceptable, these are: correspondence from employer / voluntary organisation confirming
the following details: learner name; name of company; job title; start date; and that the minimum hours requirement is met
employment contract latest wage slip.
QE2 If a learner progresses into employment but the job does not meet the requirements for a positive progression (i.e. a minimum of 16 hours per week) what code should be entered in LP79?
AE2 Code ‘22 – Employed (Part-time)’ should be entered in LP79. This outcome will not count as a positive progression. There is no requirement for supporting evidence.
QE3 A learner obtains employment which is for more than 16 hours per week, but has a temporary contract is this a positive progression?
AE3 Yes, it is a positive progression as there’s no stipulated duration requirement.
QE4 We have learners with learning difficulties and/or disabilities who progress into supported employment but the employment does not meet the minimum 16 hours requirement.
AE4 There is no minimum hours’ requirement for learners with learning difficulties and/or disabilities who progress into supported employment.
QE5 A learner has an offer of a job but this is due to start after four weeks of his/her leaving the programme, is this a positive progression?
AE5 No, the learner has to start employment within four weeks of leaving the Traineeships programme for this to count as a positive progression.
QE6 A learner progresses into employment but the contracted number of hours does not meet the minimum requirements for a progression however, the actual hours worked exceed 16 per week.
AE6 The employment can be regarded as a positive progression as long as the actual number of hours worked per week are 16 or above and the provider has evidence to support this.
QE7 A learner has employment with two different employers and the total number of hours for both jobs is over 16 hours per week (each individual job is less than 16 hours). Would this count as a positive outcome?
AE7 If a learner has employment of 16hrs or more per week whether this is due to one job or a combination of part-time jobs then it will constitute a positive progression (please note you will need the appropriate supporting evidence).
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Further learning questions
QF1 If a learner has an offer letter of a place on a FE course can this be used as supporting evidence for a positive progression, or will we require evidence that the learner started on the course as well?
AF1 An offer letter is not acceptable as evidence must confirm the learner has actually started the course.
QF2 A learner has started a FE course but it’s for 12 hours per week. How would I code this in LP79?
AF2 This would need to be coded as ‘09 seeking work/unemployed’ as it does not meet the minimum requirements of 16 hours per week.
QF3
If a learner has an offer of a place on a FE course but is due to start after four weeks of the learner leaving the Traineeships programme, is this a positive progression?
AF3 No, the learner must actually start the course within four weeks of leaving the Traineeships programme.
QF4 Why am I required to retain supporting evidence for learners who go onto further learning at the same level when this is not deemed a positive progression?
AF4 This is a WEFO requirement and an indicator on which Welsh Government has to report.
QF5 If a learner completes the Traineeships Level 1 strand and then moves to the Traineeships Bridge-to-Employment strand, is this deemed as a positive progression?
AF5 No, it is not a positive progression. Transfers between these programmes should be coded 12 or 13 in LP41 and code 16 in LP79; these learners will then be excluded from the calculation for positive progressions for the Traineeships Level 1 strand.
QF6 A learner undertakes the Traineeships Level 1 strand and then starts a FE course undertaking a Level 1 qualification. Is this deemed as a positive progression?
AF6 No, a positive progression into further learning must be at a higher level. However, further learning at the same or lower level does count towards WEFO indicators so you do need to ensure that you have evidence of the progression.
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Voluntary Work Questions
QV1 A learner has undertaken a placement with an employer but then finishes the programme. The employer cannot offer him/her a job at this time but agrees that the learner can carry on working in the company on an unpaid basis until the company can afford to employ him/her. Can this be deemed as a positive progression under voluntary work?
AV1 No, this is not deemed as voluntary work and therefore is not deemed as a positive progression.
QV2 A learner has left the programme and has become a full time carer. Would this count as a positive progression under voluntary work?
AV2 No, this is not deemed as a positive progression.
QV3 A learner has undertaken a teaching assistant qualification and on leaving the programme has decided to undertake voluntary work in a school, would this be deemed as a positive progression?
AV3 Yes this would be deemed as voluntary work as the learner has made an active decision to ‘volunteer’. The voluntary work code should not, however, be used for instances when a learner is undertaking unpaid employment because the employer could not afford to pay the wage.
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Code 20 ‘Other’ Questions
QO1 A learner who has left the programme has been contacted as part of a follow-up process and she has informed us that she is pregnant. Can this be coded as 20 = ‘Other’ in LP79?
AO1 Code 20 ‘Other’ should be used in the case of pregnancy when this has prevented the learner from being able to progress to further learning, employment etc. (pregnancy is not a reason in itself for the learner to leave a programme and for this code to be used). Evidence will need to be available that discussion took place with the learner and that it was agreed that it was not appropriate for the learner to progress due to the late stage of her pregnancy. Therefore in the above example code 20 should not be used as it does not meet these conditions.
QO2 A learner has left the programme and has become a full time carer. Would I code this as ’20 – Other’?
AO2 No, code 20 can only be entered for those who leave due to long term sickness, pregnancy, death, custodial sentence or moved out of Wales.
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General Questions
QG1 Do I need to complete field LP42 for learners leaving the Traineeship programmes?
AG1 You are required to complete LP42 for learners who left on or before 31 December 2014. For learners who left after from 1 January it is an optional field for Traineeships, for providers to complete if they wish to follow-up with learners after the four week window.
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6. SUPPORT COSTS GUIDANCE
A. Summary
A1. Outlines the conditions governing both the payment and use of support cost funding for eligible learners on WBL programmes in 2018/19; and details the monitoring information required by the Welsh Government. The document will be reviewed and republished each year.
SECTION PURPOSE/ AIM RETURN
Appendix 1a Provider declaration for Support Costs Funding (Traineeship):
Months 1 to 3 Months 1 to 8
Completed hard copy form to be returned to the Learner Provision Team no later than:
23 November 2018 19 April 2019
Appendix 1b Provider declaration for Support Costs Funding (Apprenticeship): Months 1 to 3 Months 1 to 6 Months 1 to 9 Months 1 to 12
Completed hard copy form to be returned to the Learner Provision Team no later than: 23 November 2018 22 February 2019 24 May 2019 23 August 2019
Appendix 2 Application form for exceptional training allowance funding.
Prior to start of learning or at earliest possible stage.
Appendix 3 Provider declaration for exceptional training allowance funding monthly activity: authenticated declaration
No later than 7 working days after the end of the month.
Appendix 4 Application form for childcare funding. Unless specifically requested, there is no requirement for Providers to send copies of childcare application forms to the Welsh Government.
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B. Introduction
B1. This document specifies the conditions governing the payment of support costs for learners on WBL programmes in 2018/19 and details the monitoring information required by the Welsh Government (Welsh Government) to account for the use of Support Cost Funding in 2018/19.
C. Background
C1. Providers must ensure that non-employed learners are provided with financial support and personal assistance to enable them to access and/or remain in learning. Support costs in this context relate to training allowances, travel costs, essential accommodation expenses and relevant assistance for learners with learning difficulties and/or disabilities. Providers must also ensure that additional learning support (ALS) needs of employed learners are met.
C2. This document builds on the information provided in the Programme Specification for Welsh Government WBL Programmes 2015-2019. The conditions specified in this document are in addition to, and not in substitution for, the conditions set out in the Programme Specification.
C3. The requirements in this document only relates to the contract year 1 August 2018 to 31 July 2019. Arrangements agreed prior to this contract year are no longer extant. However, Providers must ensure that learners who started their learning programmes before 1 August 2018 are not adversely affected by any change. The documents will be revised annually.
C4. Providers who have been successful in securing a Programme Commission to deliver the Traineeship programme have been awarded an allocation for the support of non-employed learners.
C5. The Provider is responsible for ensuring it meets the needs of all learners. It must not prevent access to learning on the basis of the cost of support described in this document. It is for the Provider to manage its Support Cost Allocation - to meet all identified learning support needs for non-employed learners. Welsh Government funding is a contribution to any learner support costs incurred by the Provider to provide learning. No further funding should be assumed.
C6. Welsh Government funding must not be used to support employed learners other than additional learner support needs described within this document.
D. Training Allowances
Traineeship learners
D1. Non-employed learners must be paid an allowance as specified in the Programme
Specification L21-L26.
D2. Providers are required to make training allowance payments direct to the learner.
Apprentices
D3. All Apprentices must be employed status.
Exceptional Training Allowances (ETA)
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D4. Should an apprentice learner become unemployed, an ETA of £50 per week may be paid, in accordance with the Programme Specification F2-F4. A provider may be able to claim financial support from Welsh Government to meet the cost of the ETA for an unemployed learner for up to 6 weeks.
D5. Financial Support in respect of ETAs will be made in excess of a Provider’s programme commission.
D6. Providers will be required to apply for support using the Exceptional Training Allowance application form provided at Appendix 2 to this guidance. If approved,
funding will normally be made available for a maximum of 6 weeks to enable the learner to seek new employment.
D7. Providers must retain a record of all payments to the learner: this includes a receipt authenticated by the learner confirming the payment. Where learners are paid by BACS, an attendance record, authenticated by the learner to confirm attendance must be completed. This attendance record may then be used as the basis to create a BACS payment. There will be no requirement for a receipt if the attendance record and the BACS printouts are held on file.
D8. Completed application forms, together with a letter from the learner’s previous employer or a copy of the learner’s P45 document (to confirm the reason for requesting support) should be sent to: Learner Provision Team, Welsh Government, Further Education and Apprenticeships Division, Provision Management Branch, Ground Floor, Ty’r Afon, Bedwas Road, Bedwas, Caerphilly, CF83 8WT.
D9. Where an application for an ETA is approved, payment will be made following the submission of monthly expenditure returns to Welsh Government’ Learner Provision Team. A pro-forma for this purpose is attached at Appendix 3.
D10. Allocations for ETA funding will be earmarked for the purpose intended. Providers should submit one expenditure return only each month to the Learner Provision Team, covering all ETA costs. Where a provider has more than one learner accessing ETA funding, the total expenditure for that month should be recorded. The Learner Provision Team will monitor a provider’s expenditure against the agreed allocation and, provided the monthly expenditure return does not exceed the agreed allocation, payment will be forwarded directly to providers via BACS.
D11. To receive payments promptly, authenticated expenditure returns should be submitted to the Learner Provision Team no later than 7 working days after the end of each calendar month. Provided the returns are received promptly, the Learner Provision Team will make every endeavour to make payments to providers alongside the mainstream monthly payments.
D12. Providers are reminded that any training allowance funding must be supported by original documentation. In addition, providers should ensure that they retain copies of any correspondence from Welsh Government confirming approval for ETA funding, and the period of approval.
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E. Travel and Accommodation Funding
E1. This section provides information on processing and managing applications for support. In order to ensure a consistent approach to processing applications from learners for travel and accommodation funding and making payments to learners, it is recommended that Providers consider using standard application and assessment forms.
E2. Travel and accommodation funding is available to non-employed learners only.
E3. A claim should not be considered if:
• the learner lives within reasonable walking distance of the place of learning and there is no reason why the learner requires transport (e.g. as a result of a disability); and/or
• the claim does not exceed the weekly threshold for the learner stated below. Any claim which is at or below the reimbursable threshold must be met by the learner.
E4. The reimbursable threshold varies according to the learning programme type:
E5. Traineeship learners - the minimum reimbursable threshold is set at 10 percent of the learner’s weekly allowance payment (Programme Specification L24 refers) • A Traineeship Engagement learner receiving the maximum training
allowance of £30 per week is required to meet the first £3 of their weekly travel costs.
• A Traineeship Level 1 learner receiving a maximum training allowance of £50 per week will be required to meet the first £5 of their weekly travel costs.
E6. All claims must be considered on the basis of travel by the most economical route, e.g. by the use of a Student Railcard (the costs of which should be reimbursed where its use offers a net saving for the Provider). Wherever possible, weekly or monthly season tickets should be used.
E7. If a learner uses his/her own transport, s/he may claim for the costs of fuel and car or motor cycle parking provided this does not exceed the cost of travel by public transport (where available) and there is no alternative facility to park the car or motorcycle.
E8. The Welsh Government will support the cost of travel by car, or motor cycle, up to a maximum of 25p per mile. Providers must ensure that any payments made to learners do not exceed the maximum rate of 25p per mile.
Arrangements for Providers wishing to use their own transport
E9. Providers will be able to use their own transport to provide home-to-study transport for eligible learners (above) where it can be clearly demonstrated that this represents the best value for money and that, without support, learners would face additional costs or would have difficulty in accessing the learning centre. However, funding travel costs must not be used as a replacement for, or to subsidise, existing funding paid for by a Provider/employer from its own funds.
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E10. Providers using their own transport to provide home-to-study transport for learners will need to maintain a clear audit trail, which identifies the learners under these arrangements, and the amount of funding allocated.
General Information
E11. It is expected that Providers will reimburse learners at the end of a set period. However, it is recognised that, in some instances, it may be necessary to make payments to learners in advance as the costs involved may be prohibitive to the learner, e.g. purchasing of a seasonal travel ticket. Providers must not make payments for a seasonal travel ticket of more than one calendar month.
E12. Where a Provider arranges transport on behalf of a learner, e.g. a taxi, payments must be made directly to the transport provider, rather than the learner.
E13. Learners can only be reimbursed for actual costs they incur. As such, payments must not be made for any periods of absence (authorised or otherwise); notwithstanding that, with seasonal travel tickets, this may not always be possible.
Learners with accommodation costs
E14. Non-employed learners will be eligible to receive a contribution towards accommodation costs, where the accommodation is essential for him/her to access learning. Providers supporting learners with accommodation costs must maintain a clear audit trail which demonstrates that this represents the best value for money and that, without accommodation support, learners would be unable to access appropriate learning.
F. Childcare Funding
F1. Childcare support is available for non-employed learners who are lone parents. Learners may be eligible to receive a contribution towards the costs of registered or accredited childcare, up to a maximum of £161.50 per week for the first child or £274.55 per week for two or more children. Where a Childcare provider charges a registration fee, this cost is fundable where no alternative childcare is available/ accessible for the learner.
F2. Childcare funding must only be available where a childcare provider is registered by the Care and Social Services Inspectorate Wales (CSSIW) or has been approved by an accredited organisation’s Quality Assurance Scheme.
F3. Registered childcare providers in Wales are inspected and registered by the CSSIW. The CSSIW will be able to confirm if a provider is registered. Registered childcare includes registered child-minders, nurseries, playgroups, early excellence centres and holiday play schemes.
F4. These childcare arrangements are usually for children under eight, but children aged eight or over who attend schemes that also cater for children under eight are also eligible for support as they are attending registered childcare. Registered childcare may also include day care provided by a local authority (or by some schools on school premises (registered by Estyn) when the children are looked after in their parents’ absence outside school hours. Registered childcare providers in England are regulated by Ofsted. Approved childcare is childcare that is approved by a specially accredited organisation’s Quality Assurance (QA) scheme. A childcare provider who gains approval from an accredited organisation’s QA scheme is given
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written confirmation of the approval. Approval is granted for a fixed period (not more than two years) and the childcare provider will be given a reference number.
F5. Learners must only include in their application the childcare for which they have to pay a registered or approved childcare provider. The Welsh Government provides free early years education to all three year-olds. Therefore, providers must not approve childcare funding for a period covered by free early years education.
Applying for support
F6. Learners who wish to apply for childcare support should complete an application form, see example at Appendix 4. The form is split into three separate sections: Section A to be completed by the learner, Section B to be completed by the childcare provider and Section C to be completed by the training provider.
Section A
F7. The learner’s details must be entered in full.
F8. The learner must enter the child’s full name and date of birth, bring the child(ren)’s birth certificate(s) and either a letter confirming child benefit entitlement or Tax Credits Award Notice (TC602(SN)) to confirm that the child is dependent on him/her.
F9. The learner must state the number of hours childcare needed each week and the weekly cost of childcare. If the learner’s childcare costs vary or he/she only needs childcare for part of their course they should provide the dates and different weekly costs on the form or on a separate sheet if necessary.
F10. The learner must authenticate the declaration.
Section B
F11. The childcare provider must confirm the number of hours childcare needed each week and the weekly cost of the childcare. The childcare provider must also provide details of any mandatory retainer charged for holidays (i.e. when the learner is not using the childcare).
F12. If the learner uses more than one childcare provider, a separate Section B must be completed by each childcare provider.
F13. Childcare providers must complete Parts A and/or B of Section B and authenticate the declaration as appropriate.
Section C
F14. WBL providers should record details of the learner’s programme of study, including the number of hours the learner must attend each week and the length of the course.
F15. Providers are asked to record when the learner will be starting and finishing his/her course and, where applicable, enter the holiday dates or state the number of holiday weeks per year.
F16. Providers are asked to take a copy of the child(ren)’s birth certificate(s) and either a letter confirming child benefit entitlement or the Tax Credits Award Notice
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(TC602(SN)) form as evidence that the learner has (a) dependent child(ren) as set out at Section A of the form.
F17. WBL providers are required to authenticate the declaration in order to confirm that the learner is eligible for childcare support. This involves confirming that:
1. The learner is a lone parent; 2. the learner has (a) dependent child(ren) as set out at Section A of the form; 3. the relevant childcare provider(s) are registered by the CSSIW or have been
approved by an accredited organisation’s Quality Assurance Scheme.
F18. Providers can check that a childcare provider is registered via the following link to the CSSIW website: https://careinspectorate.wales/?lang=en
F19. Providers can check that a childcare provider is approved via the following link to the Family Information Services in Wales website: http://gov.wales/topics/people-and-communities/people/children-and-young-people/parenting-support-guidance/help/familyinformationservices/?lang=en
F20. Unless specifically requested, there is no requirement for Providers to send copies of childcare application forms to the Welsh Government. Providers are responsible for ensuring that all sections of the form are completed correctly, that the learner is eligible for childcare support and that the childcare provider is registered.
G. Additional Learning Support (ALS)
Introduction
G1. ALS is support for learning which:
i. arises from a learning difficulty and/or disability; ii. is necessary to empower the individual learner to achieve; and iii. complies with the programme specification and the requirements of this section.
G2. The definition of learning difficulty and/or disability does not include learners with support needs arising from a functional literacy or numeracy difficulty (i.e. with basic skills needs) or learners for whom English (or Welsh) is a second language.
G3. As its statutory responsibility, the Provider must offer equality of opportunity to all potential learners. It must ensure all additional learning needs are adequately met and resourced.
G4. Providers must use ALS funding to respond to individual learner needs. In doing so, Providers must make reasonable economies, such as sharing support and negotiating competitive rates for both equipment and services in order to make the best use of Welsh Government’ resources, and to achieve a fair and equitable distribution of the funds available.
G5. Where a Provider is seeking to support a learner in respect of provision related to dyslexia, this must be based on an assessment using a recognised professional diagnostic tool. This might be through an educational psychologist’s report or an assessment undertaken by a tutor professionally trained in the diagnosis of dyslexia. Qualifications held by such a tutor might include the RSA Diploma for Teachers of Learners with Specific Learning Difficulties, among others. BSA and other tests for
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basic skills are not considered appropriate tests for dyslexia, although they are helpful in identifying if a learner might require more specific testing.
Human Support
G6. Human support is categorised into six cost levels for on-going and one-off support, towards which Welsh Government funding will make a contribution.
G7. The fund may not be used to defray the costs of full-time or part-time salaried staff already employed by the Provider (unless staff are employed solely for purpose of providing additional learner support). However, the fund may be used to release such staff by employing replacement staff. In such circumstances the Provider must be able to show a direct audit trail. In other words, using the fund to meet notional replacement costs is not acceptable.
G8. Where a learner requires additional human support, providers will be required to review need at least six monthly.
G9. The table below lists the generic support types and describes the nature of support covered by each label.
Support Type Nature of Support
Ancillary This support type covers learning support assistants, general support workers, readers and exam support.
Communicator1 Communicator2 Communicator3
Communicators for deaf learners who use sign language. Funding for sign language interpreters will reflect the stage to which they are trained (BSL Stages 1, 2 or 3 (CACDP). You should confirm the stage to which the interpreter is trained (i.e. Stage 1, 2 or 3). Advice from the RNID suggests that Stage 3 should be a minimum standard.
Note taker Support of this nature includes typists, shorthand or longhand note takers.
Tutorial Support of this nature covers services of a general tutor and IT support for specialist software/hardware (includes technician). It is not intended to cover the services of a learning support assistant, which would be covered under the ancillary category. Tutorial support would normally be in addition to a learner’s ordinary classroom or workplace time.
Specialist This level of support covers specialist advisers such as IT consultancy, hearing, dyslexia or sensory impairment advisers, speech and language therapists and counsellors.
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Assessment An external post-enrolment assessment such as a dyslexia test; assessment by an educational psychologist; or assessment by RNIB, Wales Council for the Blind, RNID or Wales Council for the Deaf. Individual assessments by educational psychologists may cost as much as several hundred pounds per learner. Providers may reduce the cost of assessments by arranging several appointments during a single visit.
Technical Support / Specialist Technical Support
G10. ALS funding must not be regarded as the primary source of funding for equipment for learners with learning difficulties and/or disabilities.
G11. Welsh Government funding may be used to purchase specialised equipment such as Braille machines, overlays, Reading Edge equipment, IT adaptations, specialist software and related licences and IT hardware, hearing loops and conference folders.
G12. Technical support does not include photocopying, books, printers, general software or capital expenditure on buildings such as lifts or items that will become the personal property of learners.
G13. Providers may use Welsh Government funding to lease specialist equipment if it is required for a short period of time.
G14. Where equipment is bought solely from Welsh Government funds, Welsh Government will retain ownership and the item will be regarded as a national resource when the learner for whom it was purchased has left the Provider. In these circumstances the item may be transferred to an alternative Provider for use by another learner. The Provider must maintain a record of the type of equipment: e.g. Braille, Hearing Loop; including the make and model.
G15. All purchases between £500 and £5,000 will require a minimum of three written quotations. Any purchases below £500 can be made without the need to obtain 3 quotations. However, you will still be required to retain proof of purchase. All purchases over £5,000 should use the provider’s procurement procedures. Written quotations must be obtained from suppliers who are capable of supplying the goods/services required. The Provider must include any items of equipment purchased with ALS funding in their insurance cover.
G16. When equipment purchased with ALS funding becomes obsolete, the Provider may dispose of that equipment in line with its usual procedures for disposal of obsolete equipment provided a clear audit trail is maintained. Any proceeds from sale of these items should be used towards the purchase of new equipment that promotes access to mainstream provision. Providers should include these proceeds in their returns to Welsh Government.
Eligibility for ALS Support
G17. The following criteria apply:
The learner’s ALS needs must be underpinned by a diagnostic assessment and this must be recorded in each learner’s ILP, together with identification of individual
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support needs, and the learning programme. In respect of dyslexic learners, the ILP must also record the date and outcome of the professional dyslexia test.
A learners’ assessment of need must be as up-to-date as possible because individual needs change and the type and amount of need might be different in a post-16 setting. All statemented school leavers will have a Individual Learning Pathway Plan written by Career Choices Dewis Gyrfa during their final year at school. A learner’s support needs should be determined with regard to this document.
The learner has a learning difficulty/disability: i.e. a primary disability or learning difficulty, e.g. Dyslexia, Moderate Learning Difficulty (Mod LD), Visual Impairment. Recording an accurate and clear description is essential. Learners with functional literacy and numeracy needs are NOT eligible for ALS funding, as funding for such support is built into the payments for the relevant programme.
G18. Providers have an authenticated letter of endorsement or Section 140 assessment of needs from Career Choices Dewis Gyrfa, where this is available.
G19. Where there is specific support, be it human or technical, or to create an appropriate learning environment, this will be related to an individual learner and must be recorded on the ILP.
G20. Should the learner change learning programme, the support must follow the learner unless the change of learning programme leads to a reduction/increase in support required.
H. Evidence Requirements
All Support Costs
H1. Providers must retain a record of all payments to the learner, and/or in respect of a learner, as per the requirements set out in the 2015-19 WBL Programme Specification and this guidance.
H2. Providers must ensure that they retain a list of the learners supported and the total amount allocated to each individual learner. This information will be requested by Welsh Government Provider Assurance and Governance Service (PAGS) as part of audit arrangements for support cost funding.
H3. Providers may also be requested, on an ad hoc basis, to submit relevant background information relating to ALS funding to Welsh Government in order to ensure that funding is being utilised in accordance with the requirements set out in the Programme Specification and this document.
H4. Providers will be required to submit expenditure reports for learner support funding. Forms for this purpose are attached at can be found at Appendix 1a & 1b.
Providers will be required to certify that any funding received for the purpose of learner support funding has been expended in accordance with the requirements set out in the Programme Specification and this document.
Specific evidence requirements for Travel and Accommodation payments
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H5. Providers are reminded that any funding paid for journeys made by public transport must be supported by receipts. Providers must retain all receipts in support of a learner’s claim.
Specific evidence requirements for Childcare payments
H6. Providers must retain copies of all invoices submitted by the childcare provider and a record of all payments made to the childcare provider. Providers are advised that payment should be made directly to the childcare provider and that at no time should payment be made directly to the learner. In addition, Providers should ensure that they retain each learner’s childcare application form. These will be subject to audit by PAGS.
Specific evidence requirements for Additional Learning Support payments
H7. Providers must record the dates when ALS is required on the learner’s ILP. In addition:
• The number of hours per week the learner is supported in provision must be recorded. If the number of hours support per week is likely to vary during a programme please enter the average number of support hours per week. Record the duration of programme in weeks.
• Record the number of learners sharing the support. Providers are encouraged to arrange for learners to share support where possible in order to achieve best value. Some learners, however, will require 1:1 support.
• Record the hourly cost of support. Funding for human support relates only to direct contact time with the learner and does not include ‘on-costs’ (e.g. holiday pay, sick pay etc.).
H8. Please note that the maximum hourly rates payable are as follows:
Type of support Hourly rate £
Ancillary 9.50
Assessment Full Cost *
Communicator1 15.00
Communicator2 18.00
Communicator3 20.00
Note taker 12.00
Specialist 35.00
Tutorial 24.00
* Welsh Government will reimburse the actual cost of the assessment. The Contractor must provide evidence and sense check prior to WG processing claim.
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I. Allocation of Funding
Traineeships
I1. Welsh Government will allocate funding to reflect all learner support costs using a formulaic approach linked to the type and volume of provision in a Providers’ contract. Providers will receive a monthly allocation based on their performance recorded via the Lifelong Learning Wales Record (LLWR).
I2. Providers will be expected to manage their Support Cost allocation within their contract specification. It will be for each Provider to decide its criteria and procedures for considering applications and making payments to eligible learners, subject to the conditions set out in the Programme Specification, this guidance and any other guidance from Welsh Government.
I3. Any unspent Support Cost Allocation will be reclaimed in full by Welsh Government at the end of the contract year.
I4. The Provider will be required to submit returns on expenditure.
Apprenticeships
I5. Providers have not been awarded a ring fenced support cost allocation in respect of apprentices. Payments in relation to support cost requirements for this cohort of learners will be additional to a provider’s programme commission value and will be made following receipt of quarterly expenditure reports.
J. Audit Arrangements
J1. Providers are reminded that they must maintain records of the support provided to the learner and that funding expenditure must be supported by original documentation. The Provider must retain an audit trail of evidence of costs incurred until notified by the Welsh Government (For further information, please refer to paragraphs D37 to D42 in Section D Information Assurance).
J2. Providers are required to submit details of actual expenditure on support costs, which will be subject to review by Welsh Government. Any underspend or non-compliant expenditure will be reclaimed in full.
J3. The evidence requirements for funding and payment are detailed in the 2015 - 19 WBL Programme Specification and in the PAGS document ‘on the evidence requirements to support funding and payment’.
J4. The audit arrangements for WBL are set out in the Programme Specification.
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Appendix 1a & 1b - Provider declaration for in-year activity support costs
Please see Support Costs declaration forms at:
https://beta.gov.wales/running-work-based-learning
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Appendix 2 - Provider application for an Exceptional Training Allowance (Apprentices only)
Please see Exceptional Training Allowance form at:
Welsh
https://beta.llyw.cymru/dysgu-seiliedig-ar-waith-ffurflenni
English
https://beta.gov.wales/work-based-learning-wbl-forms
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Appendix 3 - Exceptional Training Allowance Funding
WORK BASED LEARNING: PROVIDER DECLARATION FOR MONTHLY ACTIVITY EXCEPTIONAL TRAINING ALLOWANCE FUNDING – 2018/19 CONTRACT YEAR Name of Provider:
Month:
Please provide a breakdown of monthly expenditure for each individual in receipt of exceptional training allowance funding
Learner Identifier LLWR field (LN01 or LN02)
Dates when ETA funding was provided
Month expenditure
relates to
Monthly expenditure
£ Date from DD/MM/YYYY
Date to DD/MM/YYYY
Please return the signed declaration to the Learner Provision Team, Further Education and Apprenticeships Division, Tŷ’r Afon, Bedwas Road, Bedwas, Caerphilly, CF83 8WT no later than 7 working days after the end of each calendar month.
I certify that the amount expended has been deployed in accordance with the guidance outlined in the Programme Specification and the Support Costs Circular.
Signed:
Print Name:
Date:
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Appendix 4 - Application for Help with Childcare Costs
Please see Application for Help with Childcare Costs form at:
Welsh
https://beta.llyw.cymru/dysgu-seiliedig-ar-waith-ffurflenni English https://beta.gov.wales/work-based-learning-wbl-forms
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7. PROVIDER PERFORMANCE MANAGEMENT - A PROGRAMME FOR JOINT WORKING
A. Purpose
A1. The purpose of the Skills, Higher Education and Lifelong Learning (WG) Provider Performance Management Programme is to ensure contractual compliance by WBL providers and, in line with the Quality and Effectiveness framework, ensure continuous improvement in the quality of delivery. This Programme sets out how WG and the WBL network will continue to work together to drive compliance and improvement in addition to identifying the current key focus areas.
B. Background
B1. The Learning and Skills Act 2000 places a responsibility on the WG to ensure the appropriateness and effectiveness of education and training in Wales. The Provider Performance Team was established to help meet this responsibility within the WBL sector.
B2. WBL provider performance management is undertaken via a risk based approach that reflects the increased maturity of the network and its capacity for self evaluation and assessment (see ‘Self Assessment’). Information on the assessment of provider risk is provided at Annex A.
B3. Since The WG introduced its Quality and Effectiveness Framework there have been significant improvements in both the delivery and quality of post-16 learning. However, room for improvement remains. For example, there is still provision within the network which is deemed below ‘good’ and this is not acceptable. All providers should be striving for excellence and the role of the Provider Performance Team, working without other teams within The WG, is to provide relevant challenge to enable all providers to reach this goal.
C. Provider Performance Managers
C1. Each provider has been allocated a Provider Performance Manager to act as a dedicated point of contact. The role of the Provider Performance Manager is to review a provider’s performance and provide appropriate challenge and support to enable delivery of quality provision in line with the WBL Programme Specification. Reviews will take the form of face-to-face meetings in addition to telephone and email correspondence.
C2. The frequency of face-to-face reviews will be based on the current assessed risk for each provider. Providers with a high risk rating will be visited on a quarterly basis (at least), those with a medium rating bi-annually and low risk providers, annually.
The timing of face-to-face visits will be flexible but will reflect the schedule for Self Assessment Report (SAR) / Quality Development Plan (QDP) returns and Estyn inspections (where applicable).
D. Key Elements
D1. The key elements of the provider performance programme are to:
• Ensure that providers deliver in line with their WBL Agreement; and
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• to monitor the quality of funded provision (with the exception of the Jobs
Growth Wales programme) against Estyn recommendations, QEF indicators
and relevant information from stakeholders.
Ensuring delivery in line with WBL Agreement
Delivery against targets
D2. The Provider Performance Team will monitor each provider’s performance on a monthly basis, against a series of objectives/targets, including (but not limited to):
• Actual and anticipated spend against contract
• Delivery against contractual targets
• Welsh/ Bilingual Delivery
D3. Additionally, the team will intervene where there is actual evidence that a provider is failing to meet demand within their commissioned local authority areas/occupational sectors.
Equality and Diversity
D4. Providers are expected to review and evaluate the effectiveness of their formal policies and procedures on current performance.
D5. To assist with this, the Provider Performance Team has developed a set of individual reports to enable providers to assess their recruitment performance against a network average. These reports can be accessed through LLWR inform.
D6. Providers will be challenged where their performance is below the network average and:
• there is no robust plan (with time bound actions) to improve performance; or
• there is a plan in place (within the provider’s QDP) but it is failing to have a
sufficient impact.
D7. Conversely, providers who are deemed to be successful in reducing/removing the barriers to opportunity are encouraged to share good practice with other providers.
Community Benefits
D8. The WG is committed to contributing to the social, economic, and environmental well-being of the wider community. The Work Based Learning programmes underscore this commitment.
D9. In addition to the delivery of the WBL programmes, providers are required to support the WG’s commitment to delivering maximum value by achieving community benefits through the programme. WBL providers are required to provide detailed information within their Self Assessment Report. Further information can be found in the SAR Guidance at:
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http://gov.wales/topics/educationandskills/learningproviders/raisingqualityandstandards/qualityimprovement/assessment/?lang=en
D10. Providers are encouraged to secure other positive outcomes that would benefit the community in which they work, (such as contributing to community regeneration schemes) and are further encouraged to share best practice with other providers.
D11. All directly contracted providers are required to provide detailed information on community benefits within their Self Assessment Return. Where this information does not fit with the Common Inspection Framework (CIF) providers are required to record this detail at the bottom of their SAR return.
Education for Sustainable Development and Global Citizenship (ESDGC)
D12. The Provider must have a documented strategy for Education for Sustainable Development and Global Citizenship (ESDGC), encompassing the key areas of:
i. commitment and leadership;
ii. organisational management;
iii. teaching and learning; and
iv. communities and partnerships.
D13. The ESDGC strategy must reflect the guidance set out in the WG’s publication Education for Sustainable Development and Global Citizenship: A self-assessment toolkit for WBL Contractors. It must incorporate an action plan, including specific objectives, targets and priorities for ESDGC, which is reviewed on at least an annual basis as part of the Contractor’s self-assessment cycle. The Contractor must nominate a member of staff who is responsible for co-ordinating and monitoring its ESDGC strategy, and whose job description reflects this role.
D14. The Provider Performance Team will evaluate ESDGC information given within a provider’s SAR/QDP return and latest Estyn inspection report, and will challenge providers where progress against this area is deemed to be insufficient.
Welsh Language Policy
D15. Providers must promote the objectives of the Welsh-medium Education Strategy, published in April 2010, i.e. supporting the development of the Welsh language as a skill in the workplace and the take up of Welsh language and bilingual training within the WBL sector.
D16. Each Provider is required to have an up to date Welsh language policy in place and will be required to comply with the WG’s Welsh language policy (Iaith Fyw, Iaith Byw) as stated in their WBL Framework Agreement. The Welsh language policy must show the Contractor’s commitment to promoting the Welsh language and culture, and developing learning provision through the medium of Welsh (Section V of the WBL4 Programme Specification refers).
Monitoring the Quality of Provision
Learner Outcome Reports
D17. The team will closely monitor the performance data recorded within the Lifelong Learning Wales Record (LLWR) to identify any performance which is below WG thresholds.
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D18. Providers will be required to put appropriate actions in place to remedy poor performance and will be expected to demonstrate that necessary improvements are being made in a timely manner.
D19. The team will review the actions recorded within a provider’s QDP and will challenge, where appropriate, if the actions are deemed to be insufficient.
D20. In addition, the team will monitor performance data on a monthly basis and will provide challenge where there is no evidence of improvement.
Estyn Inspections
D21. The Contractor must attain, as a minimum, a judgement of at least ‘adequate and needs improvement’ in all key questions following inspection by Estyn. Where shortcomings are identified, the provider must put in place a detailed action plan with specific objectives, targets and milestones to address these shortcomings.
D22. A draft action plan must be submitted to The WG for approval by the relevant Provider Performance Manager, within one month following the draft publication of the Estyn report. The effective implementation of the approved action plan will be monitored over the period up to re-inspection/monitoring visit and providers will be challenged where it is deemed that insufficient progress is being made.
D23. The WG will operate an escalation procedure which will be instigated when the provider demonstrates serious and persistent failings in quality. A termination event includes the failure to achieve an overall judgement of ‘adequate and needs improvement’ or above for current performance on re-inspection by Estyn (or an equivalent body) (paragraph U10 of the WBL Programme Specification refers).
D24. As part of the Estyn inspection arrangements, The WG will continue to be informed of the outcomes of inspections and the relevant Provider Performance Manager will attend feedback meetings.
Estyn Thematic and Annual Reports
D25. All providers are expected to take account of the issues and findings identified within
Estyn’s Annual Report and thematic reviews and consider their relevance to their
own working practices. The team will be looking for evidence (within a provider’s
SAR and QDP) to show that this is occurring, and will be challenging providers
where there is no evidence of Estyn’s findings being taken into account.
D26. This information is available at: http://www.estyn.gov.wales/language
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E. Self Assessment
E1. Each WBL provider must have in place its own systems to manage the quality of learning and to ensure the achievement and maintenance of high standards, in line with the requirements set out in the Quality and Effectiveness Framework. The provider must undertake an annual self-assessment, based on guidance published by the WG and Her Majesty’s Inspectorate of Education and Training in Wales (Estyn). The resulting self-assessment report (SAR) and quality development plan (QDP) must be submitted to the WG at a date to be agreed between the provider and the WG, reflecting the individual provider’s annual quality cycle. Progress against actions identified in the QDP must be reviewed at least three times a year, and the outcomes of the review documented by the provider. This documentation, together with supporting evidence of actions taken, must be made available to The WG and Estyn on request.
Sharing of Best Practice
E2. The WBL network is expected to work collaboratively to ensure that best practice is identified, shared and learnt from, and this should become common practice. The Provider Performance Team will be looking for evidence (within each provider’s SAR and QDP) that this practice is occurring. Where The WG becomes aware of good practice, it will take steps to ensure that this is disseminated across the network.
Summary
E3. As outlined within the background to this document, there has been much improvement in the quality of Work Based Learning provision within Wales. This can be evidenced from the significant increase in Apprenticeship completion rates over the past few years; increasing from 54% in 2006/07 to 81% in 2015/16. However, these rates are not experienced by all providers or in all occupational areas and across the sector there are still improvements to be made (as identified within the latest Estyn Annual Report). The WG seeks to build on its good relationship with the WBL sector; creating and maintaining a culture of challenge and support. It is anticipated that this approach will enable all providers to meet the high standards expected of them in support of the learners of Wales.
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Annex A
Annex A: Assessing risk
The risk assessment includes:-
• Current Estyn judgements for providers that have been inspected. • Judgements of ‘adequate / adequate and needs improvement’ will be
considered extant (irrespective of time elapsed) unless officials are satisfied that sufficient improvements have been made against all of Estyn’s recommendations;
• learner outcome performance data information; • provider Assurance and Governance Service (PAGS) review findings; • delivery against contract value and specific programme targets; • substantiated information from other internal and external
stakeholders; • published monitoring information and • significant changes to contract i.e. in relation to value or dispersal
A provider’s risk assessment will be reviewed at regular intervals, based of the latest available information.
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8. WORK-BASED LEARNING OUTCOMES – PERFORMANCE THRESHOLDS
A. Background
A1. This sets out performance thresholds for work-based learning (WBL) programmes for data relating to the period 2015/16.
A2. The purpose of the thresholds is to give WBL providers a steer on how their learner outcomes will be measured, and on Welsh Government’s expectations for performance.
A3. Providers should note that the thresholds set out below may be reviewed in light of the sector’s performance, and may be revised for future years.
A4. Learner outcomes will be evaluated and reported on. Where performance falls below the quality threshold providers will be expected to demonstrate that remedial action is in place to bring about improvement.
A5. Any comments or questions should be sent to [email protected]
B. Performance year
B1. In April 2015 providers were issued with a WBL contract for a period of 16 months i.e. 1 April 2015 to 31 July 2016. However, Welsh Government continues to measure performance on an academic year i.e. 1 August to 31 July. This means that performance thresholds during this 16 month period will not be synchronised with the contract year. From 1 August 2016 WBL contracts will revert back to the academic year.
B2. Continuing to measure performance on an academic year will ensure the continued alignment with the annual timescales for performance measures with other post-16 sectors (i.e. Further Education and Adult Community Education). It also ensures trend data for WBL learner outcomes is comparable year-on-year.
C. General notes
C1. The tables below show performance thresholds for each programme, against a ‘traffic light’ system. The WBL Programme Specification makes reference to minimum performance targets.
C2. It should be noted that there is a lag time for data availability, allowing time for providers to receive and record evidence of learner achievements; for 2015/16 this means that statistics will be published in spring 2017. In future years we anticipate that the performance measures freeze date, and subsequent publication of learner outcomes, will be brought forward.
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D. Apprenticeship framework success
Performance thresholds
Spring 2017
(2015/16 data)
90% or above
80 – 89%
75 – 79%
Below 75%
Notes
D1. Over the last couple of years there has been a slight gradual decrease in framework success rates after a period of steady improvement; however, they still remain at a high level overall. The decrease may be partly attributable to the change in the focus of provision, with the priority of supporting young people. We will continue to monitor the success rates of younger learners in future years, and evaluate whether the change in the focus of provision has had a negative impact on the success rates. In addition the Higher Apprenticeships success rates are still at a low level; as this is still a relatively new programme we need to give time to see if the outcomes materialise.
D2. For 2015/16 we will keep the performance thresholds the same as the last couple of years. We will decide whether to change the thresholds in future years, once we have more evidence of how the change of provision has affected success rates, and when we have more reliable trend data for Higher Apprenticeships.
D3. The thresholds will apply to Foundation Apprenticeships, Apprenticeships and Higher Apprenticeships.
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E. Traineeships
Performance thresholds
Traineeship Spring 2017 (2015/16 data)
Engagement Level 1 Bridge to Employment
80% or above 75% or above n/a
70-79% 65-74% n/a
60-69% 55-64% 85% or above
Below 60% Below 55% n/a
Notes
E1. In 2015 we introduced a new approach to measuring the destinations of Traineeship leavers, moving from measuring the destination of the learner within three months of leaving the programme, to measuring the immediate destination of the learner i.e. within four weeks of leaving. As this change was made midway through the 2014/15 performance year it was decided not to publish learner destination outcomes for that year.
E2. We informed providers that we would review the performance targets for Traineeships once we had interim data on immediate destinations. We have some early analysis of provisional data based on the first five months of the 2015/16 year (this is operational data and cannot be published). We have used this timescale as it gives a lead in time for providers to have established systems to record and evidence the outcomes for immediate destinations.
E3. To date the data shows that the change in the measure has had very little effect on the progression rate. We also need to consider that providers would not have as yet recorded all the destination outcomes for the cohort of leavers included in the data.
E4. There are aspects of the new measure that are more restrictive (the timescales for progression) but there are others that are more generous (the removal of requirements on duration of further learning or employment), and it appears these offset each other. We are therefore keeping the thresholds the same as 2013/14 and will review again once we have a full year of performance data.
F. Work Ready
F1. As the Work Ready programme ended in March 2016 we are not including the outcomes in the 2015/16 Learner Outcomes Report.
F2. From September 2016 Work Ready will be replaced by the Employability Skills Programme which will run until April 2018. Due to the relatively short period of delivery of this programme it will not be included in the Learner Outcome Reports for 2016/17 or 2017/18, performance thresholds will not be published but outcome targets will be included in the procurement specification for the programme.
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9. GLOSSARY OF TERMS
A. Words and Expressions relating to WBL
The following words and expressions have the meanings set out below.
In the event of any inconsistency or conflict between any of the words and expressions set out below and those appearing in the Agreement then the Agreement shall prevail.
14-19 Learning Pathways
For more information on learning Pathways 14-19 please visit: http://gov.wales/topics/educationandskills/pathways/?lang=en
14-19 Networks – the local authority led strategic partnerships which support the development and implementation of 14-19 Learning Pathways locally and regionally, including support for collaborative working. The Networks include representatives from a broad range of stakeholders involved in the delivery of Learning Pathways, including the local authority, schools, further education institutions and WBL Providers. The Networks’ role is to ensure that learners have access to all six elements of their learning pathway.
14-19 Regions – Their role is to implement the requirements of the Learning and Skills (Wales) Measure and the Learning Pathways Policy through:
working with secondary schools and colleges of further education to provide learner provision, including through the medium of Welsh, which meets the requirements of the Learning and Skills Wales Measure 2009; and
supporting the six key elements of the Learning Pathways Policy.
All 14-19 activities are co-ordinated and planned by a lead local authority in each region with the co-operation of the non lead local authorities in the region.
Absence – The non-attendance of a learner for any day or part day of required attendance for learning as set out in his/her Individual Learning Plan (ILP).
Accreditation – The process through which regulators confirm that a qualification conforms to regulatory requirements.
Activity – A learning experience that is eligible for funding in accordance with the requirements of the programme specification.
Activity Costs Model - The Activity Costs Model approach is based on developing an understanding of programme delivery models, describing these and then quantifying delivery costs and activity levels. Delivery costs assumptions and activity costs are then modelled to derive activity costs for a programme of learning. For further information please see the WBL Pricing Document.
Actual Leaving Date – is the last day of learning for which there is documentary evidence as required by the Programme Specification and Guidance to Support the Funding of WBL.
It may be the first to occur of the following:
i. the date a learner completes their ILP; ii. the day a learner is terminated from a programme for misconduct; iii. the date the learner has chosen to leave; iv. where a learner does not return to learning following a period of suspension:
a. the final date of attendance for which there is evidence that the learner was in learning prior to suspension following unauthorised absence; or
b. the final date of authorised absence prior to suspension.
Additional Learning Support (ALS) – Direct support for learning which:
i. arises from a learning difficulty and/or disability; ii. is over and above that which is generally provided for in a learning programme; and
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iii. is necessary to empower individual learners to achieve.
The definition of learning difficulty and/or disability does not include learners with support needs arising from a functional literacy or numeracy difficulty (i.e. Basic / Essential skills) or learners for whom English (or Welsh) is a second language.
Additional Learning Support (ALS) Fund – A Welsh Government fund that provides additional funding to facilitate the ALS that some learners require to effectively overcome their barriers to accessing learning and training. Providers should use ALS funding to respond to individual learner needs. ALS funding can be utilised to cover either human or technical support.
Please see Section 8 ‘Support Costs Guidance’ for further information.
Agreement – The agreement between the Contractor and the Welsh Ministers including the conditions and the Programme Specification. See also Apprenticeship Agreement or Framework Agreement or Apprenticeship Learning Agreement. NB: These terms refer to different types of documents.
Apprenticeship – an employment based learning programme for employed learners following a recognised apprenticeship framework at level 3 approved for delivery in Wales. Apprenticeships can also be used as a collective term to refer to Foundation Apprenticeship, Apprenticeships and Higher Apprenticeships.
Apprenticeship Learning Agreement – An agreement between the employer and the apprentice prescribed by the Welsh Ministers. Please see the link below for more information http://gov.wales/topics/educationandskills/skillsandtraining/apprenticeships/providers/?lang=en.
All apprentices must have an apprenticeship learning agreement in place on or before the first day of training.
Apprenticeship Certificate – A certificate that is issued to a learner on completion of learning to attest that all the requirements specified in the recognised apprenticeship framework have been met.
Apprenticeship Frameworks for Wales – Those frameworks which comply with the Specification of Apprenticeship Standards for Wales (SASW) and that have been issued by Issuing Authorities designated for the sector by the Welsh Ministers. All frameworks issued in Wales can be found at: http://www.afo.sscalliance.org/
Apprenticeship Matching Service (AMS) – an on-line matching service to assist employers in finding suitable Apprentices, and aspiring Apprentices, to find employers. In addition, this website advertises vacancies for the Jobs Growth Wales programme. This site is hosted and maintained by Careers Wales who also advertise other employer vacancies on this site – http://www.careerswales.com/en/
Approved Qualification – A qualification approved by the Welsh Government under Section 99 of the Learning and Skills Act 2000 for the purposes of Section 96.
Assembly Learning Grant – A grant which aims to encourage people aged 19 or over and living in Wales to continue with their education. It is a means tested grant that provides support to help people from low-income families to access and remain in further and higher education. The grant helps to cover the cost of books, equipment, travel and childcare. Please visit www.studentfinancewales.co.uk for further information
Assessment – is the process of determining generic and vocational skills including aptitude and commitment to learning; it is the process of gathering and judging evidence in order to decide whether a person has achieved a standard or objective.
Assessment includes input from the learner, employer, trainer, mentor, assessor and is to set standards: (Standards in Competencies, Technical Knowledge, Essential Skills Wales, and the Wider Key Skills are set by Awarding Organisations). Standards for apprenticeship frameworks generally, including entry conditions and relevant job roles, are set by framework Issuing Authorities. Assessment includes:
Initial assessment which determines an individual’s ability and the appropriate entry point to learning;
Extended initial assessment allows for more detailed assessment including diagnostic tests which determines a learner’s suitability to follow the programme of study and determines commitment; and the learning process and determines the next phase of ongoing assessment;
Ongoing assessment determines competence against set performance indicators and determines the next phase of learning inputs.
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Asylum Seeker – A person who has applied for political asylum and is awaiting a decision on his/her application. The majority of asylum applicants are not permitted to work while the Home Office considers their application. However, if they have waited longer than 12 months for the Home Office to make an initial decision on their asylum application, they may request permission to work.
Attainment – Achievement of the qualification or award associated with an assessable learning activity.
Authorised Absence – The standard definition of authorised absence includes:
up to seven calendar days’ absence through sickness provided that the learner supplies self-certification or a fit note. If the period of sickness continues beyond seven calendar days, any further absence, up to two calendar weeks, must be evidenced by a fit note;
time off to attend medical appointments;
time off to attend vocationally-related examinations, Careers Wales, Jobcentre Plus or job interviews;
time off for previously agreed holidays and public and bank holidays;
absence due to an industrial dispute in which the learner is not involved or enforced repair of premises or unforeseen company closure, which prohibits effective or safe learning;
time off for necessary attendance at a court of law;
time off for attendance on required military duties;
compassionate leave for urgent domestic affairs to enable learners to cope with a short-term crisis and where necessary to allow sufficient time for satisfactory longer-term arrangements to be made;
suspension of a learner as a result of disciplinary action provided that such suspension complies with Terms and Conditions notified at the commencement of their learning.
Awarding Organisation – An organisation recognised by the qualifications regulators against the General Conditions of Recognition and Criteria for Recognition, to develop and award qualifications. In Wales, the qualifications regulator is currently the Welsh Government and moving forward, Qualifications Wales.
Award – Refers to qualification award
Bacs – A system for the electronic processing of bank transactions. It has commonly been used by providers to manage the payment of Learning Allowances, Training Allowances, and travel support.
Barriers – A barrier is a condition that makes it difficult to make progress or to achieve an objective. A barrier to learning is anything that inhibits an individual’s ability to engage with the learning process, to achieve their objectives and to progress with their chosen pathway.
Career Choices Dewis Gyrfa (CCDG) operating as Careers Wales. A wholly owned subsidiary company of the Welsh Government which has been authorised to provide careers guidance within Wales. It provides free, bilingual, impartial careers information, advice and guidance for all ages and acts as a link between education and business. It acts as the referral agency for youth unemployed learners in accordance with the terms and conditions specified with the Programme Specification and accompanying guidance documentation.
Please visit http://www.careerswales.com/en/ for further information.
Careers Wales Assessment and Referral Process – This is a process carried out by Careers Wales to effectively identify the needs, barriers, aspirations and vocational aims of customers, and thereafter to refer the customer to further assessment, training provision or further education.
The process of assessment may include:
a diagnostic assessment exploring barriers and underlying causes
Vocational Guidance Interview
Careers Wales enhanced provision
Careers Wales Enhanced provision – A programme of support, delivered 1:1 and/or via group delivery addressing identified barriers to engagement. Support may include: career management skills; decision making; learning styles; employability skills; work based behaviour; employment support; further assessments around basic skills; personal development support around confidence and self esteem; digital services support; mentoring and advocacy support; entrepreneurship; and supported referral to education, employment or training
Centre-based Learning Opportunities – Vocational learning undertaken in a location other than with an employer, normally a training workshop or similar.
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Certificate – a record of attainment of a qualification, unit and/or credit, issued by an awarding organisation.
Certifying Authority – An organisation designated by Welsh Ministers to issue Apprenticeship Certificates.
Children and Young People’s Partnerships / Children and Young People’s Plans (CYPPs) – Local partnerships consisting of stakeholders who provide and have an interest in services to children and young people. These Partnerships aim to work together to improve the well-being of children and young people aged up to 25.
Their CYPP should describe what improvements will be achieved for children and young people in the local area and how and when these improvements will be delivered. The scope of the Plan includes all services that affect children and young people’s well-being, including services for adults and families that have an impact on children.
It is recommended that Training Providers contribute to, and are familiar with, the Children and Young People’s Partnership Plans for areas in which they offer provision.
Copies of the relevant guidance can be accessed on:
http://gov.wales/topics/people-and-communities/people/children-and-young-people/?lang=en
Community-based Projects – Community-based projects are activities that aim to improve the local area and the lives of local people.
Individuals usually volunteer to be part of a community-based project but may also receive some financial incentive or reward for participating.
The Volunteering Matters website http://volunteeringmatters.org.uk/ provides information on what is available and examples of structured local projects. You can also contact the local authority for information about projects supported in an area.
Competencies – the ability to carry out activities to the standards required.
Completion Certificate (framework led programmes) – A certificate which is issued to a learner on completion of learning to attest that the minimum requirements of the appropriate framework have been achieved.
Compulsory school age – Compulsory school age is the period of time during which a child must receive full time education at school or otherwise, starting with the Statutory School Age and ending on the Statutory School Leaving Date.
A person ceases to be of compulsory school age at the end of the day which is the school leaving date for the calendar year. This is the last Friday in June, of the school year in which s/he reaches the age of 16. For those whose birthdays fall after the last Friday of June but before the 1 September, they will reach the Statutory School Leaving Date aged 15.
Contextualise – A placement to provide a learner with the chance to demonstrate to a potential employer that the skills and knowledge previously attained in a non-vocational setting can be applied to the employment opportunity. The placement can be no more than 4 weeks in duration.
Contractor – A legal entity which successfully tenders for the provision of WBL and enters into an Agreement with the Welsh Government. This is also referred to as a Provider. See also Provider.
Consortium – A group of organisations coming together to deliver WBL. It is for each consortium to agree its own constitution.
Courses in Wales Database – This is a web enabled search facility that provides information on post-16 learning opportunities. For further information please visit:
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts/courses-in-wales/?lang=en
Credit – an award made to a learner in recognition of the achievement of designated learning outcomes at a specified credit level. Credit is only awarded following quality assured assessment of achievement. No additional
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credit can be awarded for achievement over the threshold level (established by the learning outcomes and assessment criteria) although such achievement can be recognised through the award of marks or grades. No credit should be awarded for units where the learning outcomes have not been achieved.
Credit and Qualifications Framework for Wales (CQFW) – the National Qualification Framework for all learning in Wales, including Regulated Learning in Schools, Colleges and WBL, Quality Assured Lifelong Learning and Higher Education providers.
For further information please see:
http://gov.wales/topics/educationandskills/qualificationsinwales/creditqualificationsframework/?lang=en
Data Collection Form – A document used to support the funding of a WBL learner. A template for this form can be found in the Data Collection Forms, Guidelines for use, http://gov.wales/topics/educationandskills/learningproviders/datacollection/?lang=en. This template contains the data items required for the LLWR.
The Learner Activity Form contains the fields required to monitor learning activities during the programme of learning.
Data Sharing – The sharing of data between stakeholders and partners. The sharing of any personal data must be compliant with the General Data Protection Regulations. More information can be found by searching on the Information Commissioner's website.
For further information on the GDPR please visit the ICO website:
https://ico.org.uk/for-organisations/guide-to-the-general-data-protection-regulation-gdpr/
Department for Work and Pensions (DWP) – The UK Government department responsible for Welfare and Pension policy.
For more information on the DWP and their services please visit: https://www.gov.uk/government/organisations/department-for-work-pensions
Diagnostic Assessment – Involves making judgements as to how a learner is performing against a pre-determined set of criteria.
Diagnostic assessments may include basic measures of reading comprehension, writing, and mathematics using nationally endorsed tests. It may also be extended to an assessment of an individual’s soft skills or employability skills.
A diagnostic assessment provides important insights into a learner’s current skill levels and should be used in the formation and on-going development of Individual Learning Plans. Diagnostic assessment must be linked to further work to tackle any barriers identified.
Disability/Disabled – The Equality Act 2010 describes a person as having a disability if he or she ‘has a physical or mental impairment which has a substantial and long term adverse effect on his/her ability to carry out normal, day to day activities’.
Guidance on the legal duties that apply to public bodies to promote equality in relation to disability, and the other protected characteristics as defined in the Equality Act 2010, can be found at http://www.equalityhumanrights.com/advice-and-guidance/
The Welsh Government has adopted the social model of disability. Using the social model helps identify solutions to the barriers disabled people experience. It encourages the removal of these barriers within society, or the reduction of their effects, rather than trying to fix an individual’s impairment or health condition. It empowers disabled people and encourages society to be more inclusive so that disabled people have access to the same opportunities as everyone else. All public service providers are encouraged to use the social model when considering disability.
E-Documentation – The use of digital as opposed to paper documentation.
E-Portfolio – information management systems that allow increased flexibility on evidence collection methods including text, electronic files, digital pictures, images, sounds, videos, multimedia, blog entries, and hyperlinks.
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Providers are encouraged to reduce their use of paper wherever possible in accordance with the Welsh Government’s Sustainable Development agenda.
Education on Sustainable Development and Global Citizenship (ESDGC) – A cross-cutting theme and strategic policy of the Welsh Government. ESDGC comprises of:
Education for Sustainable Development enables people to develop the knowledge, values and skills to participate in decisions about the way we do things individually and collectively, both locally and globally that will improve the quality of life now without damaging the planet for the future;
Education for Global Citizenship enables people to understand the global forces that shape their lives and to acquire the knowledge, skills and values that will equip them to participate in decision-making, both locally and globally, that promotes a more equitable and sustainable world.
Eligible – An individual who satisfies the eligibility requirements of a programme as detailed in the programme specification and supporting guidance.
Employed Learners – the term ‘employed learners’ includes both employees and self-employed learners.
Employed/Employment – Applies to a learner who is in employment, either full- or part-time, under a contract of employment and is in receipt of a wage/salary. See also ‘Self-employment’.
Employee Rights and Responsibilities (ERR) – an Apprentice must demonstrate a knowledge and understanding of these as part of a recognised apprenticeship framework for Wales.
English for Speakers of Other Languages (ESOL) – An English language course for people who need to improve their use and understanding of English.
ESOL courses cover different skills including:
Speaking and listening;
Reading and writing;
Vocabulary, punctuation and grammar.
For further information please visit:
http://gov.wales/topics/educationandskills/learningproviders/esolcourse/?lang=en
Entry Level – is the lowest level in the National Qualifications Framework (NQF) and the Qualifications and Credit Framework in England, Wales and Northern Ireland.
Qualifications at this level recognise basic knowledge and skills and the ability to apply learning in everyday situations under direct guidance or supervision. Learning at this level involves building basic knowledge and skills and is not usually geared towards specific occupations.
Entry Level qualifications can be taken at three levels (Entry 1, Entry 2 and Entry 3) and are available across a broad range of vocational routes.
For more information on the NQF / QCF please visit:
https://www.gov.uk/what-different-qualification-levels-mean
Essential Skills - Essential Skills qualifications enable learners to develop their knowledge of application of number, communication, and digital literacy skills. The Essential Skills qualifications help learners demonstrate that they can apply these skills to a range of situations whilst at work and throughout life in general.
Essential Skills Wales – Essential Skills qualifications are designed to assess the skills that learners need for successful learning, employment and life. Essential Skills provides a single ladder of progression from Entry Level 1 to Level 3 in Essential Communication Skills ,Essential Application of Number Skills, Essential Digital Literacy Skills and from Entry 3 to Level 3 in Essential Employability Skills.
http://qualificationswales.org/qualifications/essential-skills-qualifications/?lang=en
Essential Skills Wales Assessment – Also see Diagnostic Assessment
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At entry level, the assessment method for Essential Skills Wales is to be determined by the relevant awarding body. For levels 1 to 4 the qualifications will be assessed via a portfolio of evidence.
For further information regarding the assessment process for Essential Skills Wales please contact the relevant Awarding Body.
Employability - Skills, behaviours and personal attributes that would make an individual more likely to gain and sustain employment.
Estyn – Her Majesty’s Inspectorate of Education and Training in Wales.
European Social Fund (ESF) – European Union (EU) grant funding used to promote jobs, employment, skills and equality in the labour market.
Exceptional Training Allowance – A training allowance of £50 per week which may be paid to an apprentice learner who is made redundant during the course of their learning programme. Payments must be made in accordance with the Apprenticeship Programme Specification.
Expected Leaving Date (ELD) – This should represent the anticipated end date for a learner’s individual learning plan for Traineeship learners. If the referral does not represent the anticipated duration, it is important that the provider hold evidence to support the ELD specified.
‘Fit note’ – Statement of fitness for work – Doctors issue fit notes to individuals to provide evidence of the advice the doctor has given about the individual’s fitness for work. The fit note allows doctors to advise that individuals “may be fit for work” taking into account the doctor’s advice, or that they are “not fit for work”.
Doctors use fit notes to record details of the functional effects of their patient’s condition so that individuals and employers can consider ways to help the individual return to work.
Finance Schedules – An Appendix to the Programme Commission reflecting a Contractor’s agreed profile of delivery by value and breakdown of new learners.
Foundation Apprenticeships – an employment based learning programme for employed learners following a recognised apprenticeship framework at level 2 approved for delivery in Wales.
Framework agreement – a general term for agreements with Contractors that set out terms and conditions under which specific purchases (call-offs) can be made throughout the term of the agreement. The framework agreement sets out the terms and conditions for subsequent call-offs but places no obligations on the Welsh Government to commission delivery of the programmes from the successful tenderers under the framework. With this approach, Programme Commissions are awarded only when the services are called-off under the agreement and specific Programme Commissions are awarded with an agreed allocation by the Welsh Government.
NB: Not to be confused with Apprenticeship Learning Agreement, Apprenticeship frameworks or framework led programmes.
Framework led programme – Programmes of learning incorporating Foundation Apprenticeship, Apprenticeship, and Higher Apprenticeship where the learner follows a specific apprenticeship framework issued by the designated issuing authority.
NB: not to be confused with framework agreements.
Full-Time Learning – The definition of full time education is more than 12 hours a week of study on a course up to and including A level standard. This includes NVQs at levels 1, 2 & 3 or equivalents.
Further Learning at a Higher Level – Progression into a programme of learning at a higher National Qualifications Framework (NQF) or Qualifications and Credit Framework (QCF) level than previously attained qualifications. Learning is recognised at entry level, Level 1 through to Level 8 or equivalents as detailed in the NQF / QCF.
For more information on the NQF / QCF please visit:
https://www.gov.uk/what-different-qualification-levels-mean
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Gained – The date that an attainment is determined or an approved qualification is achieved. This is usually the date when a certificate or any other acceptable evidence is first issued.
Please see the PAGS document ‘Guidance on the Evidence Requirements to Support funding and Payment’ for further information.
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts/programme-specification-and-guidance/?lang=en
Group Training Association - See Shared Apprenticeships.
Guided Contact Hours (GCH) – Guided contact hours (GCH) are the number of teaching, instructional or assessment contact hours for a particular learning activity and this information is used by The Welsh Government to inform the funding methodology.
Higher Apprenticeships – an employment based learning programme for employed learners following a recognised higher apprenticeship framework at level 4 and above approved for delivery in Wales.
Home study projects – Activities that are undertaken in a setting away from a formal learning environment. A learner will usually undertake such activities without the support and guidance of a tutor although they may be undertaken as a part of a group.
Examples of home study projects include research and preparation, evidence gathering, portfolio building and learner-guided activities and projects.
Individual Learning Plan (ILP) – A bespoke learning and development plan unique to each individual learner.
It should, as a minimum, detail:
The outcome of any diagnostic assessments;
The individual’s personal and vocational ambitions;
Their skills’ attributes and shortcomings;
Any identified barriers to learning;
Any support requirements;
Specific, Measurable, Achievable, Realistic and Time-bound goals;
Identified points of review.
ILPs should take consideration of detail contained within the Individual Learning Pathways Plan (ILPP) when available.
Individual Learning Pathway – Each learner should develop an individual learning pathway suitable to their needs, interests and aspirations.
The content of learning, the way learning is accessed, and where it takes place may vary depending on the learner and their learning requirements. An Individual Learning Pathway may include formal, non-formal and informal learning strands.
Individual Learning Pathways Plan (ILPP) – A document in which learners are able to record their individual learning pathway and should record their aspirations, goals, experiences and achievements in formal, non-formal and informal learning. As a minimum it must provide a record of their course choices and their learner support services. It should be a live document allowing the learner to add to it as their experiences and achievements grow. Learners should be encouraged to feel ownership of their plan and to be active contributors in its construction and development as their learning and achievements develop. The plan can be in an electronic format, via Careers Wales Online template, or paper format.
Induction Payment – The payment made as a result of data submitted to the LLWR through the on-line data collection system regarding an eligible learner who has begun a learning programme (i.e. a start). For further information please refer to ‘Guidance on the Evidence Requirements.
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts/programme-specification-and-guidance/?lang=en
Ineligible Overseas National – Please see Section C of this glossary.
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Issuing Authority – An organisation designated by the Welsh Ministers to issue Apprenticeship Frameworks.
Jobcentre Plus (JCP) – this is part of the Department for Work and Pensions. It provides services that support people of working age from welfare into work, and helps employers to fill their vacancies.
For further information on Jobcentre Plus please visit:
https://www.gov.uk/contact-jobcentre-plus
Learner – An eligible person who has commenced Learning and whose learning has not been completed or terminated. An ex-learner whose learning has been terminated is also referred to as a learner with respect to his/her terminated course.
Learner and Learning Programme Registration Form - A document used to support the funding of a learner within the funding model. A template for this form can be found in the Data Collection Forms, Guidelines for use,
http://gov.wales/topics/educationandskills/learningproviders/datacollection/?lang=en
This template contains the data items required for the LLWR.
The Learner and Learning Programme Registration Form contains the fields required at the start of the programme of learning.
Learner Outcome Reports – Reports used to derive overall performance categories for each contractor. These are currently based on agreed performance measures of Apprenticeship framework success, learning activity success, and positive progressions to employment or further learning from the Traineeships programme. The Welsh Government reserves the right to change these measures and / or add other performance measures, perhaps including measurements of value added through learning, ‘distance travelled’ by learners during learning, and literacy/numeracy achievements. Where a programme is categorised as less than 'good' by a Learner Outcomes Report, the Welsh Government will require the contractor to demonstrate that action is in place to bring about the necessary improvements, and may instigate termination of the Agreement and any Programme Commissions if performance does not improve.
http://gov.wales/topics/educationandskills/learningproviders/raisingqualityandstandards/learneroutcomes2/outcomesreport/?lang=en
Learner Support Funding – Welsh Government funding for learners to enable them to access training.
These can include:
Learning allowances (excluding Department for Work and Pensions allowances) and Training Allowances;
Travel;
Childcare.
Funding is allocated using a formulaic approach linked to the type and volume of provision. Please see the Programme Specification, and ‘Support costs for Work Based Learning’ for further information.
http://gov.wales/topics/educationandskills/learningproviders/workbasedlearning/wbl-contracts/programme-specification-and-guidance/?lang=en
Learner Support Services – in the context of 14-19 Learning Pathways, this refers to the unique blend of support services provided to learners as part of their 14-19 Learning Pathway. It relates to services which encourage, enable and assist young people (directly or indirectly) to participate effectively in education or training, take advantage of opportunities for employment, or participate effectively and responsibly in the life of their communities. This includes information, advice and guidance services which support learners to make informed choices, overcome barriers to learning and realise their potential. The level of support provided will be proportionate to need, with the greatest intensity of support available to those learners with greatest need.
Learner Support Services comprise:
Learning Coaching – support to maximise the learners’ ability to learn and maintain their motivation to remain in learning;
Personal Support – to help overcome personal barriers to learning;
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Careers Advice and Guidance – to ensure impartial expert advice on career choices.
When dealing with 14-19 year olds, Providers must be aware of their role in facilitating effective learner support. They should build strong relationships with learner support service agencies based on robust policy and procedure.
For further guidance please see Learning and Skills (Wales) Measure 2009: Learner Support Services and Learning Pathway Document Guidance
Learner Voice – Learner Voice Wales is an annual survey of learners’ views, carried out by Ipsos MORI on behalf of the Welsh Government (Welsh Government). It covers learners in Further Education (FE), work-based learning (WBL), Adult Community Learning (ACL) and Welsh for Adults (WfA) Centres. The results are used to benchmark learner satisfaction and help learning providers, Estyn and Welsh Government create a better learning experience.
Learners with Learning Difficulties and /or Disabilities – Section 41(5) of the Learning Skills Act defines a learner with learning difficulties and/or disabilities as having:
Significantly greater difficulty in learning than the majority of persons of his/her age; or
A disability which either prevents or hinders him/her from making use of facilities of a kind generally provided by institutions providing post-16 education and learning.
Learners with Learning Difficulties and /or Disabilities does not include learners with support needs arising from functional literacy or numeracy difficulties (i.e. basic skills) or learners for whom English is a second language.
Learning – A process of planned activities engaged in by a learner, which is specifically designed for the acquisition of knowledge, skills and competence necessary to progressing towards attaining their Individual Learning Plan.
Within Traineeship, learning will usually be relevant to particular occupations in the labour market or generally relevant to enable effective participation in the labour market at a range of levels. For Apprenticeships, learning will be the requirements of the specific apprenticeship framework.
Learning may include activities that do not lend themselves to a specific vocational route but rather develop the generic employability, personal and social skills necessary for employment.
Learning may include (extended) initial assessment activities conducted by a Provider.
Learning Coach – refers to the learning coaching function which supports young people with learning related aspects of their individual learning pathway. Learning coaching aims to maximise the learners’ ability to learn and maintain their motivation to remain in learning. Learning coaching helps to identify goals and support the development of a learning pathway to meet these by:
Helping develop learning skills;
Make the best use of and developing learning styles;
Maximise their development in a variety of areas of intelligence, including emotional intelligence.
Learning coaching is a function that can be provided by an individual or team of people.
For more information and resources please visit:
http://gov.wales/topics/educationandskills/pathways/learningcoach/?lang=en
Learning Needs – The needs of a learner as identified through the processes of referral, and /or initial assessment, and / or diagnostic assessment and progress review.
Learning Placement – A placement opportunity to allow learners to gain experience and to acquire, develop and demonstrate skills. Learning Placements can include those with an Employer, Voluntary Organisation, Training Provider or Community Project.
A Learning Placement will contribute towards the attainment of formal qualifications or the acquiring of experience that will help the learner gain employment or access to learning at a higher level.
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Learning Placement Representative – A representative from the Learning Placement or taster who is responsible for the learner’s activities, performance and engagement whilst the learner is on-placement with the organisation.
Learning Units (LUs) – A notional measurement of the volume of learning as used within the funding model.
Leaver – A learner who has completed his/her learning with a Provider or has left learning early or has been absent from learning for longer than the periods permitted in the Programme Specification.
Lifelong Learning Wales Record (LLWR) – The means of recording data on learners, their programmes, activities and awards submitted by the Provider to the Welsh Government. The LLWR data populates the Welsh Government’s post-16 database, which is used on a monthly basis to inform funding, performance analysis, statistical publications and extracts provided for bodies such as Estyn.
For further information please see:
http://gov.wales/topics/educationandskills/learningproviders/datacollection/?lang=en
Lot – The division of a contract into a number of separate parts or ‘Lots’ based on differing requirements. Tenderers may bid for any number of lots.
Not-Employed – A learner who is not employed under a contract of employment and who is not in receipt of a wage/salary; and, if an adult, has made a claim to a DWP benefit/allowance (including NI credits).
Non Vocational - A qualification or skill that is not directly career focused. These will include academic awards and will often provide the transferrable skills that could be used in a range of occupational settings.
Occupational focus – See Vocational Focus.
Occupational Routeway assessment – An assessment carried out by a referral agent as part of the learner assessment and referral process in order to identify an individual’s occupational routeway.
Offer of a suitable learning place – An offer of a suitable learning place made by Careers Wales for a young person to start a learning programme with a Training Provider, School or Further Education Institution to progress with their Individual Learning Pathway Plan.
Off-the-job training – Time away from normal work duties. It can include any activity where an apprentice or learner receives any form of instruction, tuition, assessment, or progress reviews. For illustration (but not exclusively) private study, coaching, mentoring, e-learning, distance learning, or classroom training may count as off-the-job training.
On-the-job training – Workplace activity where skills are being learnt, practiced and applied in the course of an apprentice or learner’s normal work duties.
Ordinarily Resident – Refer to Section C of Glossary of Terms.
Outcome – The awarding of an approved qualification by an awarding body in accordance with the programme specification and guidance of the relevant programme.
Overseas National – Refer to Section C of Glossary of Terms.
Participants – Those individuals on the Jobs Growth Wales programme.
Pathways to Apprenticeships – A programme of full-time study in a further education institution to Sector Skills Council requirements in preparation for an apprenticeship.
Placement – see learning placement. It may also refer to placing an individual onto a Traineeship or Apprenticeships programme.
Portfolio – A portfolio is a file, folder or other means of storing and presenting the evidence that the candidate is submitting for final / summative assessment. It may include a variety of types of evidence (for example written, video, audio, artefact) and may be in hard copy, electronic (often referred to as an e-portfolio), or a combination of these.
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Positive Progression (Traineeship Learners) – Progression from a learning programme to either:
employment with an apprenticeship;
employment with no further training;
self-employment;
further training at a higher level;
further education at a higher level;
voluntary work; or
higher education.
A positive progression is deemed as a progression into employment, voluntary work or self employment which is of 16 hours or more per week and with an intended duration of a minimum of 13 weeks. A positive progression is also deemed as a progression into further learning at a higher level which is of 12 guided contact hours or more per week and with an intended duration of a minimum of 13 weeks. Voluntary work has been included as a positive measurable progression; however, this inclusion will be reviewed annually in advance of the issuing of contracts.
Principal Learning – See Welsh Baccalaureate: Principal Learning and Project Qualifications
Programme Commission – A commission for the delivery of work based learning from the Welsh Government under the framework agreement. (See also Contract).
Programme of Study – A series of activities undertaken by a learner to achieve objectives as contained within the Individual Learning Pathways Plan. A learner’s programme of study should be recorded in the ILP and progress against goals should be reviewed at regular frequencies.
Progress Review – The entitlement of a learner to have their progress in learning reviewed through a formal interview. The progress reviews shall be conducted to the quality standards and frequency laid down in the Programme Specification and associated guidance, and shall record progress and future action against the ILP.
Provider – An organisation that delivers training to learners through a Welsh Government funded programme. Providers can deliver these programmes as a contractor, consortium member or sub-contractor. In all instances they must satisfy all terms and conditions included in the relevant Programme Specification and associated guidance.
Provider Assurance and Governance Service (PAGS) – Welsh Government assurance service in relation to WBL Providers.
Quality and Effectiveness Framework (QEF) – The Welsh Government's framework for assuring and improving the quality of post-16 education and training in Wales. The QEF includes regular reviews of providers' performance against core indicators; work with the provider network to share good practice and support improvement; and intervention where performance falls below an acceptable level.
Quality Development Plan (QDP) – An action plan developed by the provider to address shortcomings and build on strengths identified in its annual self-assessment.
Recognition of Prior Learning – The process of assessing and accrediting the prior learning and experience of a learner in relation to the learning aims and qualifications to be followed in the ILP.
Recognition of Prior Achievement – The process of assessing and accrediting the prior achievement of a learner in relation to the learning aims and qualifications to be followed in the ILP.
Re-Entrant – A person who has previously participated in Work Based Learning and who is eligible for, and who re-enters, learning.
Referral – A referral represents the process of transferring an individual from a referral agent such as Careers Wales or Jobcentre Plus to provision or extended assessment with a provider or another organisation as specified in the Programme Specification and associated guidance.
A referral should, as a minimum, include:
identification of learning needs;
identification of potential barriers;
details of any support requirements;
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expected programme duration;
expected learning / employment outcomes.
Referral Agent – An organisation commissioned by the Welsh Government to provide referrals to eligible individuals onto WBL training programmes.
Refugee – An asylum seeker who has been granted indefinite leave, limited leave or exceptional leave to stay in the United Kingdom. A refugee seeking entry onto Government/Welsh Government funded learning must have the appropriate Home Office documentation giving permission to train and work in the United Kingdom. Once asylum has been granted a refugee will have the same rights as permanent residents of the UK, including being allowed to work without any restrictions.
Regional Learning Partnership – acts as a facilitation body to ensure that publicly-funded learning providers and associated organisations work collaboratively, effectively and efficiently across the areas of education and regeneration to meet the needs of the learners and the regional economy. It is funded by the European Social Fund.
Further information can be found at:
http://www.rlpsww.org.uk/
Registration – The process of registering a learner with an awarding body as having started to work towards the completion of a qualification.
School – A school operated under the Schools Regulations, but not for this purpose a tertiary college, community college or further education college.
School Leaving Date – The last Friday in June in the school year in which a young person reaches age 16. Under section 8 (4) of the Education Act 1996, all young people must participate in education until this date. Providers may not provide full time Welsh Government sponsored learning for young people during school year 11, nor may these young people enter full time employment until after this date. (See also Compulsory School age above).
For further guidance see Welsh Office circular 49/97
School Year – September – August
Sector Skills Council (SSCs) – SSCs are independent, employer-led, UK-wide organisations that utilise employer demand to help develop the skills system. They enable employers to influence how the skills of their workforce are developed. SSCs are licensed by the Government through the UK Commission for Employment and Skills (UKCES) and are part government funded.
SSCs undertake innovative programmes and projects in order to raise employer ambition and investment in skills and they act as the voice of employers on skills issues.
For further guidance please visit:
http://fisss.org/sector-skills-council-body/directory-of-sscs/
https://www.gov.uk/government/organisations/uk-commission-for-employment-and-skills
Self Assessment Report (SAR) – An annual evaluation carried out by each learning provider of its learning delivery, learner outcomes, leadership and management. The SAR is based on guidance updated annually by the Welsh Government and is aligned with Estyn's Common Inspection Framework.
Self-employment – Providers must verify the individual’s self-employment status and that he/she is trading by gathering suitable evidence such as, evidence of registration for self employment tax returns and payment of NI contributions to HMRC , and maintenance of adequate records of accounts, trading premises, equipment held etc.
It is not possible for a learner to class themselves as self-employed and be in receipt of an unemployment benefit or full-time education benefit such as an Education Maintenance Allowance.
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Shared Apprenticeships – A Shared Apprenticeship is where learners ‘rotate’ between two or more employers in order to complete the Apprenticeship framework. Apprentices may have a contract of employment with one of the employers, or may be employed by the training provider in a ‘host employer’ or ‘group training association’ model.
Skills Health Check – The Skills Health Check (SHC) process is based on joint working between Jobcentre Plus and Careers Wales. Jobcentre Plus refers learners, whom they think may have skills gaps or lack employment focus, to Careers Wales who carry out an initial interview. This may be followed by a meeting to use a skills assessment diagnostic tool funded by the Welsh Government. Early evaluation of the process indicates that this meeting may be followed by further guidance interviews.
The process, which ‘wraps’ around a diagnostic tool, provides guidance on skills development, planning, Labour Market Information, identifying barriers and motivation to progress. This process allows Jobcentre Plus and Careers Wales to provide a seamless service to those in need of support.
Small and Medium Enterprises (SMEs) – There are several definitions of Small and Medium Enterprises found in UK Company Law and European Commission guidance. A summary of the current and appropriate definitions in respect of these programmes are below:
Criterion Micro Small Medium
Max no of employees 9 49 249
Max annual turnover - €7m/ £2.8m €40m/ £11.2m
Max annual balance sheet total - €5m/ £1.4m €27m/ £5.6m
Max % owned by one or several enterprise(s) not satisfying the same criteria
- 25%
Source: s248 Companies Act 1985; DTI definition;
http://webarchive.nationalarchives.gov.uk/+/http://www.dti.gov.uk/sme4/define.htm
Specification of Apprenticeship Standards for Wales (SASW) – sets out the minimum requirements to be met by recognised Welsh apprenticeship frameworks.
Start – The entry of a learner into learning as specified in the Programme Specification and associated guidance.
Start Date – The first day of learning as specified in the Programme Specification and associated guidance.
Sub-Contractor – An organisation or a business that signs a contract to perform part or all of the obligations of another's contract. Responsibility for the subcontractor rests with the Contractor alone.
Suitable Learning Place – The offer of a learning place suitable to the needs and aspirations of a learner as detailed in their Individual Learning Pathways Plan. A Suitable Learning Place can include a place with a Training Provider, school or further education institution.
Suspended/Suspension – Where a learner is retained on a learning programme although learning has ceased or is unable to be evidenced. Please refer to the Programme Specification and accompanying guidance documentation for specific suspension criteria.
Technical Knowledge – Is a mandatory element of an apprenticeship framework. It is the knowledge required to perform the skill, trade or occupation to which the framework relates, together with knowledge and understanding of the industry and its market.
Terms and Conditions of Learning – Encompass all aspects of a learner’s relationship with a Training Provider as detailed in the programme specification.
Training Providers must ensure that learners are informed of their Terms and Conditions of Learning at the start of any provision or at any time the conditions of provision change.
Essential Terms and Conditions include:
details of the place(s) of learning;
required hours of attendance;
details of travel allowances (if applicable);
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details of wage / salary / Training Allowance;
sickness and absence policy;
code of conduct, including, but not limited to, responsibility for health, safety and welfare;
learner rights, roles and responsibilities;
learning Pathways 14-19 Entitlement (if applicable);
equality & diversity policy;
notice periods in the event of dismissal;
holiday entitlement.
Third Party – This may include a sub-contractor or external partner that does not contract directly with the Welsh Government.
Third Sector – The sphere of social activity undertaken by organisations that are for non-profit and non-governmental. See also Voluntary Sector.
Third Sector Agency – An organisation or agency that carries out voluntary work within the third or voluntary Sector.
Training – See Learning.
Training Provider – See Provider.
Traineeship: Engagement – A strand of the Welsh Government funded Traineeship programme for young people. Please see the programme specification for further detail.
Traineeship: Level 1 – A strand of the Welsh Government funded Traineeship programme for young people. Please see the programme specification for further detail.
Traineeship: Bridge-to-Employment – A strand of the Welsh Government funded Traineeship programme for young people. Please see the programme specification for further detail.
Training Allowance (Youth) – The rate of weekly allowance that a youth learner who is not employed shall receive whilst participating in the Welsh Government Traineeship programmes as detailed in the programme specification and supporting guidance.
Transfer – The planned movement of a learner within the same programme to another Provider, prior to the completion of the Individual Learning Plan.
Providers should seek to ensure a transition that causes minimum disruption to learning and support services. To facilitate an effective transition, Providers should have procedures and processes for handling transfers, that as a minimum, seek to share or obtain:
referral (if relevant) and Initial Assessment records;
progress review information;
information relating to support requirements.
The sharing of any data must be compliant with the GDPR. See Data Sharing for further information.
UKCES – UK Commission for Employment and Skills. See:
https://www.gov.uk/government/organisations/uk-commission-for-employment-and-skills
Unauthorised Absence – Absence from learning which is not authorised by the training provider as specified in the Programme Specification and associated guidance.
See Authorised Absence for further guidance.
Verification Form – A form that must be completed regularly by each Contractor and forwarded to the Welsh Government to verify payments.
Vocational – Learning undertaken to develop work related skills e.g. Engineering, Construction, Health & Social Care etc. This may include NVQs, diplomas or technical knowledge.
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Vocational Competencies – see Competencies.
Vocational Focus – A vocational sector in which a learner aspires to gain employment as identified on their Individual Learning Plan.
A learner will undertake training relevant to their chosen vocational focus and all Individual Learning Plans should reflect this.
Learners without a vocational focus may be referred by Referral Agents to Welsh Government employability programmes to gain such a focus by undertaking vocational work tasters.
Vocational Learning – Learning undertaken to develop work related skills e.g. Engineering or Construction. This may include NVQs, diplomas and Technical Knowledge.
Vocational Work Tasters – A taster placement to allow learners the opportunity to gain a vocational focus by gaining experience of different vocational routes. Taster placements can be with an employer, voluntary organisation, training provider or community project.
Vocational Work Tasters will ordinarily be no longer than 3 weeks in duration. Learners will usually have no more than 3 vocational work taster opportunities to identify a Vocational Focus.
Voluntary sector – The sphere of social activity undertaken by organisations that are for non-profit and non-governmental purposes.
For further information please visit: www.wcva.org.uk
Volunteer Work / Volunteering – The practice of people working on behalf of others or a particular cause without payment for their time and services.
Volunteering is an altruistic activity, intended to promote good works and improve human quality of life. It provides the opportunity for individuals to develop their skills, to meet others, to make contacts for possible employment and to have fun.
Welsh Baccalaureate Qualification –A qualification for 14-19 year olds. It provides broader experiences than traditional learning programmes and places emphasis on the development of the skills that underpin learning and employability. The Welsh Baccalaureate Qualification is available at Advanced, Intermediate and Foundation levels and is designed to develop skills, attitudes and knowledge that are needed in further learning and in employment.
http://qualificationswales.org/qualifications/welsh-baccalaureate/?lang=en
Week – A 7-day period starting on a Monday during some or all of which a learner is required to attend learning (sometimes also referred to as a Calendar Week).
Welsh European Funding Office (WEFO) – The Managing Authority for the administration of European Union funding in Wales. Work Based Learning programmes are part-financed by the European Union European Social Fund. For more information about WEFO or WEFO programmes please see:
http://gov.wales/funding/eu-funds/?lang=en
Welsh Government risk rating – risk ratings of contractors that will be prepared by the Welsh Government. These will take into account Learner Outcome Reports, audit, health and safety and financial health evaluations of contractors. As outlined in the Tender Specification, the Welsh Government risk ratings will be used in contract reviews, annual allocations, contingency plans for displaced learners, and selection of contractors to deliver pilot or bespoke provision.
Wider Key Skills – the skills of:
Improving Own Learning and Performance;
Working with Others;
Problem Solving.
Work placement – See Learning Placement
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Young Person – For the purpose of Welsh Government Work Based Learning, an individual who enters Traineeships as an eligible learner in accordance with the terms and conditions of the Programme Specification.
Young Recruits Programme – The Young Recruits Programme (YRP) is an all Wales programme that provides financial support to employers offering to recruit and train additional young apprentices (16-24 year olds). The programme offers a £50 per week wage subsidy paid to the employer; subject to the eligibility criteria and evidential requirements being met (this is not applicable to the Public Sector).
Youth Guarantee – A Welsh Government commitment. The commitment is that young people leaving school aged 15 or 16 should receive an offer of a training place. The Youth Guarantee will be introduced from September 2015.
Youth Support Services – Youth support services are services which directly or indirectly encourage, enable or assist young people aged 11-25 to participate effectively in education or training; take advantage of opportunities for employment and participate effectively and responsibly in the life of their communities. Also see Learner Support Services for further guidance.
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B. Frequently used Acronyms
ALG – Assembly Learning Grant
ALS – Additional Learning Support
AMS – Apprenticeship Matching Service
APL – Accreditation of Prior Learning
CEU – Credit Equivalent Unit
CSSIW – Care and Social Services Inspectorate Wales
DWP – Department for Work and Pensions
EC – European Commission
ESDGC – Education for Sustainable Development & Global Citizenship
ESF – European Social Fund
ESOL – English for Speakers of Other Languages
Estyn – Her Majesty’s Inspectorate of Education and Training in Wales
ESW – Essential Skills Wales
EU – European Union
FTE – Full-time Equivalent
GCH – Guided Contact Hours
IA – Initial Assessment
IU – Induction Unit
ICT – Information Communication Technology
ILP – Individual Learning Plan
ILPP – Individual Learning Pathway Plan
JCP / JC+ – Jobcentre Plus
JGW – Jobs Growth Wales
LOR – Learner Outcome Report
LLDD – Learners with Learning Difficulties and /or Disabilities
LLWR – Lifelong Learning Wales Record
LUs– Learning Units
NAS – National Apprenticeship Service (England only)
NQF – National Qualifications Framework
NVQ – National Vocational Qualification
PAGS – Provider Assurance and Governance Service
PTA – Pathways to Apprenticeships
RPL – Recognition of Prior Learning
QCF – Qualifications and Credit Framework
QEF – Quality and Effectiveness Framework
QDP – Quality Development Plan
SSC – Sector Skills Council
SME – Small-Medium Sized Enterprise
TA – Training Allowance
VQ – Vocational Qualification
WAO – Welsh Audit Office
WG – Welsh Government
WBL – Work Based Learning
WEFO – Welsh European Funding Office
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C. Overseas Nationals
An “ineligible overseas national” is someone who is not an eligible person.
An "eligible person" is a person who is:
a. a UK national; or b. a national of an EEA member state who has been ordinarily resident in the EEA or Switzerland for the
three years preceding the relevant date; or c. a Swiss national who has been ordinarily resident in the EEA or Switzerland for the three years
preceding the relevant date; or d. a family member of a national of an EEA member state or of a Swiss national who in either case has
been resident in the EEA or Switzerland for the three years preceding the relevant date; or e. a person whose passport has been endorsed to show that he or she has a right of abode in the UK and
who has been ordinarily resident in the UK for three years prior to the relevant date; f. a person recognised as a refugee by the UK Government who has remained ordinarily resident in the
UK since so recognised; or g. a person refused refugee status but who has been granted discretionary leave or exceptional leave to
enter or remain by the UK Government without conditions; or h. an asylum seeker in receipt of income-based benefits; assistance under the terms of the Immigration
and Asylum Act 1999 or the Children Act 1989; or financial assistance (subsistence payments) from the National Asylum Support Service; or assistance under the National Assistance Act 1948.
A person is granted leave to enter or remain if he or she:
a. has been informed by a person acting under the authority of the Secretary of the State for the Home Office that, although he or she is considered not to qualify for recognition as a refugee, it is thought right to allow him or her to enter or remain in the UK; and
b. has been granted leave to enter or to remain accordingly; and c. has been ordinarily resident in the UK throughout the period since he or she was granted leave to enter
or remain; and “without conditions” means that: • no condition has been imposed by an immigration officer pursuant to Sections 3 and 4 of the
Immigration Act 1971; or • there is no time limit on his or her leave to remain.
"UK" means the United Kingdom of Great Britain and Northern Ireland, the Channel Islands and the Isle of Man.
“Ordinarily resident” means habitually, normally and lawfully resident from choice without being subject under the immigration laws to any restriction on the period for which he or she may remain. Temporary absences from the relevant area should be ignored. Frontier workers, that is to say, workers who work in Wales but who reside in the territory of an EEA state or Switzerland other than the UK and return to their residence there at least once a week, may be considered eligible if they have been working in Wales or any other part of the UK for at least three years prior to the relevant date.
"EU" means the European Union.
"EEA" means the area comprised by the EU, the Republic of Iceland, the Kingdom of Norway and the Principality of Liechtenstein. An area which was previously not part of the EU or the EEA but at any time before the relevant date became or becomes part of one or other or both of these areas is to be considered for the purpose of eligibility to have always been a part of the EEA.
"Relevant date" means the first day of an all-age WBL programme of learning.
"Family member" in relation to a national of an EEA member state or a Swiss national means his or her spouse or civil partner or his or her direct descendants under the age of 21 or direct descendants of his or her spouse or civil partner under the age of 21.
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Index
A
Accreditation, 24, 236, 253 additional learning needs, 25, 217 Additional Learning Support, 25, 61, 146, 217, 221, 236,
237, 253 age, 10, 17, 47, 48, 112, 113, 239, 244, 245, 248, 254 Apprenticeship, 8, 10, 119, 121, 237
16-19, 25 AMS, 21 Approved qualifications, 8 Aspects of the Programmes, 10 continuing in learning, 130 Eligibility, 17 Employer status, 193 Essential Skills Support, 17 Evidence of Hours, 19 Exceptional Training Allowance, 27 Framework, 23 General Information, 10 Graduates, 12 ILP, 22 Ineligibility, 17 Performance Targets, 11 Progression, 29, 30 registration with awarding body, 23 Self Employed, 15 Suspension / Leavers, 135
Apprenticeship Learning Agreement, 19, 237 Assessment, 21, 23, 44, 52, 133, 140, 219, 221, 227,
229, 231, 237, 238, 240, 241, 248, 250, 253 Attendance, 56 Audit, 103, 175, 198, 222, 253 Authorised Absence, 57, 142, 238, 250 awarding body, 23, 24, 134, 140, 242, 246, 248
B
basic skills, 26, 217, 218, 238, 245 best practice, 108, 112, 121, 229, 231 Bridge-to-Employment, 43, 45, 46, 51, 54, 56, 58, 59,
145, 173, 199, 206, 250
C
Career Choices Dewis Gyrfa, 8, 10, 21, 25, 27, 30, 34, 43, 44, 47, 48, 49, 52, 55, 56, 57, 58, 142, 143, 238
certification, 11, 19, 24, 103, 179, 238 Childcare, 60, 146, 215, 216, 221, 244 Community Benefits, 228 Courses in Wales, 21, 239 cross cutting themes, 194
D
Data, 19, 102, 119, 121, 131, 138, 240, 244, 250 Destination, 198
disability, 8, 25, 26, 61, 112, 113, 146, 214, 217, 220, 236, 237, 240, 245
Double Funding, 179
E
Employer, 14, 132, 193, 204, 245 Engagement, 43, 47, 48, 51, 53, 54, 56, 58, 59, 137, 140,
145, 173, 214, 250 equality, 112, 217, 240, 242, 250 Equality and Diversity, 112, 228 ESDGC, 105, 229, 241, 253 ESF Logo, 176, 177 Essential Skills Wales, 10, 46, 51, 237, 241, 242, 253 Estyn, 106, 107, 108, 215, 227, 228, 229, 230, 231, 232,
242, 245, 246, 248, 253 Evidence Requirements, 19, 102, 129, 131, 138, 145,
220, 243 Exceptional Training Allowance, 27, 242 Exceptional Training Allowances, 212 Exit, 30
F
Foundation Apprenticeship, 16, 17 Foundation Apprenticeships, 10, 11, 13, 23, 25, 130, 242 framework, 10, 11, 16, 17, 19, 22, 23, 26, 29, 30, 46, 51,
56, 130, 237, 239, 241, 242, 243, 244, 245, 247, 249
G
gender, 112, 113 graduates, 12, 13
H
Health and Safety, 98, 119, 121 Higher Apprenticeship, 11, 12, 16, 17, 21, 23, 29, 130,
193, 242 Higher Apprenticeships, 10, 11, 24, 25, 130, 237, 243
I
ILP, 19, 20, 21, 22, 23, 30, 34, 49, 50, 53, 130, 132, 134, 135, 137, 139, 140, 142, 146, 171, 177, 219, 220, 221, 236, 243, 247, 253
J
Jobs Growth Wales, 8, 22, 54, 99, 102, 129, 135, 177, 178, 193, 195, 228, 237, 246
L
Learner Outcome Reports, 229, 244, 251 Learner Voice Wales, 245 learning activity, 110, 133, 134, 140, 168, 238, 243, 244 learning coach, 25, 55, 137, 171 Learning Support, 25, 58, 61
258
LLWR, 58, 100 Allocation of funding, 222 Allowance costs, 59 Audit, 103 Auditable evidence, 30 Data Collection form, 240 Equality and diversity reports, 228 Estyn Inspection, 106 Induction payment, 243 Learner and Learning Programme Registration Form,
244 Monitoring performance data (LOR), 229 Overlaps, 100 Payment conditions, 101 Positive progressions, 198 Reconciliation of data, 106 Recording consortium members, 120 Recording GCH, 169 Recording progression, 30 Recording qualifications, 23 Recording Qualifications, 50 Recording sub-Contractors, 122 Recording suspensions, 29 Recording Traineeship destinations, 173 Recording transfers, suspensions, terminations, 30 Recording Welsh-medium, 110 Submission timescales, 99 Submitting data, 99 Submitting supporting documentation, 100 Traineeship Childcare costs, 60 Traineeship, ALS, 61 Traineeship, Auditable evidence, 58 Traineeship, Recording leavers, 58 Traineeship, Travel Costs, 60 Use of LLWR to monitor Equality and Diversity, 112
M
Marketing, 114, 115, 177
P
Payments, 19, 132, 139, 168, 179, 222, 242 Personal Support, 25, 55, 244 Progression, 29, 54, 58, 242, 247
Q
qualifications, 8, 10, 11, 22, 24, 43, 44, 46, 49, 50, 51, 53, 171, 236, 238, 241, 242, 245, 247
Quality and Effectiveness Framework, 227, 231, 247, 253
R
race, 112, 113 Records, 24, 53, 172, 204 redundancy, 27 redundant, 27, 135, 242 registration, 23, 50, 177, 200, 204, 215, 248
review, 23, 24, 25, 29, 52, 53, 56, 103, 106, 107, 112, 131, 132, 134, 135, 138, 139, 142, 170, 171, 172, 174, 175, 177, 199, 201, 218, 222, 227, 228, 230, 231, 232, 243, 245, 250
risk, 9, 52, 55, 57, 119, 121, 143, 179, 193, 227, 232, 251
S
SAR, 227, 229, 230, 231, 248 Sector Skills Council, 10, 16, 246, 248, 253 Shared Apprenticeship, 15, 34 SME, 193, 194, 253 Sub-Contracting, 121 Support costs, 210 Suspension, 28, 135, 249
T
Terminations, 30, 58 Traineeship
Allocation to support non-employed learners, 211 Approved qualifications, 8 Bridge to Employment, 45 Bridge-to-Employment Training Allowance, 59 Destination, 198 Destination Form, 203 Eligibility, 48 Engagement, 43 Engagement attendance, 56 Evidence of destination, 199 Learner entitlement and Support, 55 Level 1, 45 Monthly payment to contractors, 59 Monthly payments to contractors for Travel costs, 60 Performance Targets and Progression, 54 Positive measurable progressions, 198 Re-entering learning, 52 Support costs training allowance, 211
Training Allowance, 46, 55, 56, 59, 60, 145, 250, 253 Transfer, 30, 58, 250 Travel, 60, 145, 214, 220, 244
U
Unauthorised Absence, 57, 143, 250 underperformance, 120, 122
V
verification, 20, 21, 24, 99, 101, 119, 121, 178
W
Welsh Baccalaureate Qualification, 251 Welsh European Funding Office, 103, 251, 253 Welsh Language Policy, 109, 229 Welsh-medium Education Strategy, 109, 110, 229
Y
Young Recruits Programme, 252